Part I Overview Information

Department of Health and Human Services

Participating Organizations
Centers for Disease Control and Prevention (CDC), (http://www.cdc.gov)

Components of Participating Organizations
Office of Public Health Research, (http://www.cdc.gov/od/ophr/default.htm)

Note: The policies, guidelines, terms, and conditions stated in this announcement may differ from those used by the NIH.

Title: Centers of Excellence in Health Marketing and Health Communication

Announcement Type
New

Update: The following update relating to this announcement has been issued:

RFA Number: RFA-CD-05-108 (See amendment, NOT-CD-05-108)

Catalog of Federal Domestic Assistance Number(s)
93.061

Key Dates
Release Date: May 2, 2005
Letters Of Intent Receipt Date(s): June 3, 2005
Application Receipt Dates(s): June 17, 2005
Peer Review Date(s): August, 2005
Council Review Date(s): August, 2005
Earliest Anticipated Start Date: August 31, 2005
Expiration Date: June 18, 2005

Due Dates for E.O. 12372
Executive Order 12372 does not apply.

Executive Summary

This funding opportunity will use the P01 award mechanism to support Centers of Excellence in Health Marketing and Health Communication that develop innovative, scientific knowledge and methods to improve the health system's ability to bring about improvements in health through the development and delivery of health information, including the translation and adaptation of that information. The Centers of Excellence in Health Marketing and Health communication initiative is the newest of CDC Health Protection Research Initiative grants (HPRI), a broad initiative that supports research and aimed at promoting health and/or preventing disease, injury, or disability and protecting people from health threats including infectious, environmental, and terrorist threats. Approximately 4.5 million dollars will be committed in FY 2005 to fund up to 4 new grants in response to this RFA. Applications may be submitted by domestic, public and private, for-profit and non-profit organizations, faith-based or community-based organizations and eligible agencies of the Federal government. Any individual with the skills, knowledge, and resources necessary to carry out the proposed research is invited to work with their institution to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are encouraged to apply. Only one application per applicant can be submitted in response to this announcement. Applications must be prepared using the PHS 398 research grant application instructions and forms (rev. 9/2004). The PHS 398 document is available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format.

Table of Contents

Part I Overview Information

Part II Full Text of Announcement

  Section I. Funding Opportunity Description
    1. Research Objectives

  Section II. Award Information
    1. Mechanism(s) of Support
    2. Funds Available

  Section III. Eligibility Information
    1. Eligible Applicants
      A. Eligible Institutions
      B. Eligible Individuals
    2.Cost Sharing or Matching
    3. Other - Special Eligibility Criteria

  Section IV. Application and Submission Information
    1. Address to Request Application Information
    2. Content and Form of Application Submission
    3. Submission Dates
      A. Receipt and Review and Anticipated Start Dates
        1. Letter of Intent
      B. Sending an Application to the CDC
      C. Application Processing
    4. Intergovernmental Review
    5. Funding Restrictions
    6. Other Submission Requirements

  Section V. Application Review Information
    1. Criteria
    2. Review and Selection Process
    3. Merit Review Criteria
      A. Additional Review Criteria
      B. Additional Review Considerations
      C. Sharing Research Data
      D. Sharing Research Resources

  Section VI. Award Administration Information
    1. Award Notices
    2. Administrative Requirements
     A. Cooperative Agreement Terms and Conditions of Award
        1. Principal Investigator Rights and Responsibilities
        2. CDC Responsibilities
        3. Collaborative Responsibilities
        4. Arbitration Process
    3. Reporting

  Section VII. Agency Contact(s)
    1. Scientific/Research Contact(s)
    2. Peer Review Contact(s)
    3. Financial/ Grants Management Contact(s)

  Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement
Section I. Funding Opportunity Description

The Centers for Disease Control and Prevention (CDC), Office of Public Health Research (OPHR), announces the availability of fiscal year (FY) 2005 funds for the support of grant applications for of Excellence in Health Marketing and Health Communication. The goal of the initiative is to develop interdisciplinary approaches to motivate the public and health professional to access, use and act upon new knowledge to improve health. This RFA encourages innovative research and demonstration programs linking recent advances in evidence-based medicine, public health intervention, business theory, marketing research, health communication research, health education, informatics, information theory, mathematics, and social sciences, including economics, psychology and sociology, to develop a new, rigorously evaluated paradigm for providing health information and marketing that influences action to improve and promote public health.

Authority: 42 U.S.C. 300u-1

1. Research Objectives

Background

Healthy People 2010 defines health communication as the research-based crafting and delivery of messages and strategies to promote the health of individuals and communities (http://www.health.gov/healthypeople/). Health marketing is defined as a multidisciplinary process responsible for identifying, anticipating, and fulfilling the health interests and needs of individuals and organizations in order to promote health and quality of life among individuals, communities, and society as a whole through changes in individual behavior, social norms, and the economic, cultural, social, and physical environment. (Health is meant in the broadest sense and includes physical, mental and social wellbeing.)

Health marketing is designed to influence action around health decisions and behaviors. Audiences are motivated to make positive health choices when they believe that the advantages of positive health choices outweigh costs or disadvantages of those behaviors. Health marketing campaigns to influence action will be more successful to the extent that they are planned to incorporate audiences' beliefs about costs and benefits of a specific behavior. Because audiences differ in their understanding of costs/benefits and in their responses to health messages, health communication and marketing efforts are most successful when they segment audiences into specific segments. Health marketing work best when they create a perception that there are multiple benefits related to a desired action (health marketing “ products” ); decrease perceived costs of a positive health behavior (“ price” ); make the exchange related to enacting a particular health behavior available in "places" that are convenient and fit the audience's preferences and activities; and “promote” the product in innovative ways through the audiences preferred channels (http://www.social-marketing.org/sm.html). Health marketing recognizes the role that competition plays in consumer choices about health. In addition, health marketing exists in a constantly evolving marketplace where constant monitoring occurs and strategies and tactics can be quickly adjusted.

There is substantial literature that shows health communication and marketing interventions can raise awareness of health problems and recommended actions, give people the information they need to make informed health decisions and motivate health protection action. Recognizing the importance of marketing and health communication in raising awareness of important health issues and encouraging positive health behaviors, and mindful of the dramatic changes in the technologies of both health care and information, CDC has dramatically expanded its commitment to health marketing and health communication to ensure that:

A wide range of businesses, scientists, and communicators have been studying the process of effective marketing and communication and its impact on health and health behavior for many years, and much has been learned. There are increasingly refined theories of information processing, health communication and health behavior, including those that focus on how people represent and process health information, respond to health risks and change health behaviors. Both consumers and professionals have, or will have, a host of new opportunities for creating, distributing and acquiring health information from the World Wide Web, individually-tailored print and multimedia materials, interactive computer games, interactive kiosks, wireless devices, and many other channels and sources. But empirical evidence is critically needed about the efficacy and effectiveness of health marketing and health communications interventions using these modalities. Data especially are needed about how these strategies can be used as part of public health interventions and to meet the needs of hard to reach and at-risk populations.

The development of effective interventions and tools for informed decision making should use the wealth of available evidence from fields such as epidemiology, health communication and health education, informatics, marketing, and medical and social sciences, including psychology, sociology, anthropology, and related fields to address the complex issue of maximizing and sustaining health and social change. The increasing complexity of health decision-making demands a broad interdisciplinary approach. Bringing people together from different disciplines can accelerate the speed with which discoveries are made, translated into researchable hypotheses and interventions and then developed into products that benefit people and motivate change. For example, public health officials can work with psychologists, advocates, health communication experts and health marketers to learn the best ways to raise awareness of health risks, engage consumers in positive health behaviors, and participate in measures to protect themselves and their communities from environmental threats. The challenges of health marketing and health communication will not be surmounted if disciplines work in isolation.

A significant increase in the size and scope of the health marketing and health communication research enterprise is needed to develop the next generation of research that promotes the spread and adoption of effective public health interventions. At the same time, the enterprise must be informed by a greater scientific understanding of the mechanisms by which these strategies work and a commitment to diffusion. The result should be both knowledge and practical strategies to enhance health marketing and health communication that influence action to improve and promote health.

Research Goals and Objectives

CDC invites grant applications for Centers of Excellence in Health Marketing and Health Communication. Centers are expected to conduct research that will lead to major scientific advances in knowledge about health marketing and health communication and their translation to promote effective public health practice.

There are several over-arching goals.

Centers are encouraged to conduct multidisciplinary research in applied settings, including community, regional, and national settings. They do not have to cover all aspects of the public health continuum; focus is expected. However, there should be a focus on translatability – from intervention research to dissemination. The essential focus of the Center is expected to be in the development and/or major improvement in our understanding of the science and application of health marketing and health communication. Evidence-based research products should be put quickly into the public health domain where possible. The Center investigators will be encouraged to share findings, tools, and other resources with the CDC, and the greater academic and public health community.

Investigators must provide evidence that they have a mechanism in place by which to disseminate and evaluate evidence-based products and interventions that emerge from this research. Reliance on or production of proprietary technologies that would inhibit dissemination or evaluation and replication is discouraged. Applicants are encouraged to collaborate with other organizations, especially those serving at-risk and hard-to-reach populations. The active participation of advocacy groups and appropriate community organizations is encouraged.

Focus of the Center

Investigators should represent a broad range of disciplines working together to increase knowledge about health marketing and health communication. The center might be a virtual center where the expertise is drawn from multiple locations. Some centers might be virtual centers or collaboratories* where the expertise is drawn from multiple locations. The center should focus on areas in which

It is incumbent upon investigators to articulate the gap areas. It is expected that the center will catalyze problem solving and lead to more rapid advances in knowledge than would be possible by depending on individual investigators working in relative isolation. The center should contribute to understanding what works and what does not work and why. In most cases, the studies will require recognition of the cognitive, psychological, and sociocultural influences on health behaviors, social norms, and the environment. The critical element of the Centers consists of at least two applied research projects that lead to spread and adoption of effective public health interventions.

Types of multidisciplinary public health research projects that are appropriate for this topic include, but are not limited to, the following examples:

*Originally coined by the National Science Foundation by combining "collaboration" and "laboratory," collaboratories are secure, user-configurable, virtual project spaces. Geared towards fostering inter-organizational teamwork, they contain rich tools and services for research and development projects that span organizations, geographic regions, and time zones.

Section II. Award Information

1. Mechanism(s) of Support

This funding opportunity will use the CDC research program project grant (P01) award mechanism. As an applicant, you will be responsible for planning, directing, and executing the proposed project.

This funding opportunity uses the just-in-time budget concepts. This announcement requires summary budget information provided in the application package along with budget justification and support must be written in the form, format, and the level of detail as specified in the budget guidelines. You may access the latest version of the budget guidelines by accessing the following web site: http://www.cdc.gov/od/pgo/funding/budgetguide2004.htm.

2. Funds Available

CDC intends to commit approximately $4.5 million in FY 2005 to fund up to 4 new grants in response to this RFA. An applicant may request up to three consecutive 12-month budget periods within a project period of up to 3 years. The anticipated start date is August 31, 2005. Although the financial plans of CDC provide support for this program, awards pursuant to this RFA are contingent upon the receipt of a sufficient number of meritorious applications, availability of funds, evidence of satisfactory progress by the recipient (as documented by required reports), and the determination that continued funding is in the best interest of the Federal government. At this time, it is not known if this RFA will be reissued.

Section III. Eligibility Information

1. Eligible Applicants

1.A. Eligible Institutions

You may submit (an) application(s) if your organization has any of the following characteristics:

A Bona Fide Agent is an agency/organization identified by the state as eligible to submit an application under the state eligibility in lieu of a state application. If you are applying as a bona fide agent of a state or local government, you must provide a letter from the state or local government as documentation of your status. Place this documentation behind the first page of your application form.

1.B. Principal Investigators

Any individual with the skills, knowledge, and resources necessary to carry out the proposed research is invited to work with their institution to develop an application for support. CDC encourages individuals from all racial and ethnic groups as well as individuals with disabilities to apply for this program. Note: Title 2 of the United States Code section 1611 states that an organization described in section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan.

2. Cost Sharing or Matching
Cost sharing is not required.

3. Other-Special Eligibility Criteria

Research Projects and Cores

Each awarded Center must consist of two or more projects, all of which are directly related to the overall focus of the program. Component projects not located at the applicant institution must conform to CDC policies. Each component project requires a well-described relevant hypothesis, preliminary data, and a time-table for conducting the proposed investigations.

The overall project should include an Administrative Core and a Scientific Core, which support all projects within the Centers. The Administrative Core is responsible for day-to-day administration, as well as program coordination and ongoing evaluation of the Center. Additional Scientific Cores may be included, as appropriate, bearing in mind that each core must be utilized by at least two proposed projects.

Applications must clearly demonstrate how each core will serve the needs of the research program, and how each project will use core resources. Two related considerations that should be detailed if applicable are: (1) the degree to which investigators within the Center will use and benefit from core resources and; (2) the degree to which the resources will promote and/or expand the Center's research efforts Linkages and Collaborations Centers should be established so as to have structured linkages to, collaborative and cooperative relationships with, public health agencies, other public and private organizations that have an interest in health marketing and health communication and population health improvement, including local and state governmental health agencies, healthcare provider organizations, corporations and businesses with large employee health benefit programs, healthcare financing organizations, insurers and other third party payers, research organizations, other Federal and state government agencies, and health-related community-based organizations. Each Center should have, through academic affiliation or other structural means, access to, and active engagement of, experts representing a broad array of disciplines in public health, psychology, business, economics, and other health-related and social sciences which relate to health marketing and health communication. Interactions among Centers are an important part of this initiative. Centers must identify creative strategies to foster formal and informal intra- and inter-center collaborations to identify and address overarching scientific and methodological issues. This may be in the form of research collaborations, participation in Web-based health communication exchanges by scientists on a visiting basis, exchange of resources and materials, and other mechanisms.

Annual Grantee Meeting

Upon initiation of the program, the CDC will arrange annual meetings to encourage the exchange of information among investigators who participate in this program. In the preparation of the budget for the grant application, applicants should include travel funds for one meeting each year to be held in Atlanta, GA. Applicants should also include a statement in the applications indicating their willingness to participate in such meetings.

Only one application per applicant can be submitted under this announcement.

Section IV. Application and Submission Information

1. Address to Request Application Information

The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Additional instructions can be found at http://grants.nih.gov/grants/forms.htm.

Applicants must use the currently approved version of the PHS 398 (rev. 09/2004). If you do not have access to the Internet, or if you have difficulty accessing the forms on-line, you may contact the CDC Procurement and Grants Office Technical Information Management Section (PGO-TIM) staff at: 770-488-2700, PGOTIM@cdc.gov.

2. Content and Form of Application Submission

Applications must be prepared using the PHS 398 research grant application instructions and forms (rev. 9/2004). Applications must have a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the website at http://www.dnb.com. The D&B number should be entered on line 11 of the face page of the PHS 398 form.

See Section VI.2. Administrative Requirements for additional information.

The title and number of this funding opportunity must be typed on line 2 of the face page of the application form and the YES box must be checked.

3. Submission Dates

3.A. Receipt, Review and Anticipated Start Dates

Applications must be received on or before the receipt date described below:

Letters Of Intent Receipt Date(s): June 3, 2005
Application Receipt Dates(s): June 17, 2005
Peer Review Date(s): August, 2005
Council Review Date(s): August, 2005
Earliest Anticipated Start Date: August 31, 2005

3.A.1. Letter of Intent

Prospective applicants are asked to submit a letter of intent that includes the following information:

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows CDC staff to estimate the potential review workload and plan the review.

The letter of intent is to be sent by the date listed at the beginning of this document.

The letter of intent should be sent to:

Mary Lerchen , Dr.PH., MS
Scientific Review Administrator
Office of Public Health Research
Centers for Disease Control and Prevention
1600 Clifton Road, MS D-72
Atlanta, GA 30333
Phone: 404-371-5480
FAX: 404-371-5215
Email: MLL0@cdc.gov

3.B. Sending an Application to the CDC

Applications must be prepared using the PHS 398 research grant application instructions and forms as described above. Submit a signed, typewritten original of the application, all of the appendix material, including the checklist, and one signed photocopy in one package to:

Technical Information Management
CDC Procurement and Grants Office
2920 Brandywine Road
Atlanta, GA 30341

For further assistance contact the CDC Procurement and Grants Office Technical Information Management Section, Telephone 770-488-2700, Email: PGOTIM@cdc.gov.

3.C. Application Processing

Applications must be received on or before the application receipt date listed in the heading of this funding opportunity. If an application is received after that date, it will be returned to the applicant without review.

Upon receipt, applications will be reviewed for completeness by PGO and responsiveness by OPHR. Applications determined to be incomplete will not be reviewed.

OPHR will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. However, when a previously unfunded application, originally submitted as an investigator-initiated application, is to be submitted in response to a funding opportunity, it is to be prepared as a NEW application. That is, the application for the funding opportunity must not include an Introduction describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.

Although there is no immediate acknowledgement of the receipt of an application, applicants are generally notified of the review and funding assignment within eight (8) weeks after peer review.

4. Intergovernmental Review
This initiative is not subject to intergovernmental review under Executive Order 12372.

5. Funding Restrictions

Restrictions, which must be taken into account while writing your budget, are as follows:

If you are requesting indirect costs in your budget, you must include a copy of your indirect cost rate agreement. If your indirect cost rate is a provisional rate, the agreement should be less than 12 months of age.

6. Other Submission Requirements

The following should be addressed in a clear and organized manner (see also peer review criteria section):

Timeline: a detailed timeline for the proposed study must be included in the application. Tasks should be identified for each specific aim, showing how the study will be managed over the project period.

If applicable, in a separate section labeled, “Participant Notification of Study Results”, the applicant should describe plans for notifying participants about their individual results and the overall results of the study.

Applicants should include in their budget support for themselves to attend an annual one day grantee meeting in Atlanta, GA. These meetings are to review and assess overall progress and provide the opportunity for investigators to exchange information and discuss research issues.

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process. The following will be considered in making funding decisions:

2. Review and Selection Process

Upon receipt, applications will be reviewed for completeness by PGO and responsiveness by OPHR. Incomplete and/or non-responsive applications will not be reviewed. Applicants will be notified that application did not meet submission requirements.

Applications that are complete and responsive to the RFA will be evaluated for scientific and technical merit by an appropriate peer review group convened by CDC in accordance with the review criteria stated below.

As part of the initial merit review, all applications will:

The Centers application must include two or more individual research projects, which reflect hypothesis-driven research. It is critical that there be evidence of the potential for a meaningful center with a real theme and identity. The application must represent more than an interesting collection of projects. Reviewers will evaluate each research project using the criteria listed below. Each criterion will be addressed and considered by the reviewers in determining scientific merit and assigning the overall project score.

The application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward.

Significance: Does this study address an important public health problem? Does it address a priority public health problem? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field? Will the proposed research contribute to the overall aim of promoting health and/or preventing disease, injury, or disability and protecting people from health threats including infectious, environmental, and terrorist threats ?

Approach: Are the conceptual framework, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? Is sufficient detail provided to explain clearly how the study will be conducted? Are statistical considerations appropriately addressed to ensure usefulness of the study results?

Innovation: Does the project employ novel concepts, approaches or methods? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies?

Investigator: Is the investigator appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers (if any)? Do the study investigators have experience in health marketing or communication or supply evidence that such expertise is adequately provided by consultants or collaborators? If appropriate, does the team have a multidisciplinary background to conduct the proposed study?

Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed experiments take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there evidence of institutional support? Is there documentation of cooperation from business, industry, academic institutions, communities, or other participants in the project, where applicable?

In addition to the above criteria, the following items will be considered in determining the overall scientific merit and score:

Relevance: Does the study build upon a foundation of relevant research in health marketing and/or health communication? Does it fill a significant gap in health marketing or health communication research, theory, or method?  Does the study promise to advance the field of health marketing and health communication research through expanded reach or adoption of research findings? If the aims of the study are achieved, will it advance public health practice?

Multidisciplinary Collaboration: Is there evidence of significant multidisciplinary interactions in the conception, design, and proposed implementation of the project?

Shared Resources (Cores)

1. Adequacy of the proposed plan to develop and maintain appropriate cores;

2. Degree to which plans indicate that shared resources effectively and efficiently support (or will support) the research of the Center in a manner that cannot be supported through available national resources;

3. Adequacy of the justification for each specialized resource relative to its essential need for the conduct of Centers research projects and other administrative and scientific activities;

4. Adequacy of qualifications and performance (if applicable) of managers of resources;

5. Cost effectiveness of the requested budgets to conduct each resource operation.

Overall Program Organization and Capability

1. Scientific qualifications and involvement of the Center's Principal Investigator, as well as his/her demonstrated scientific and administrative leadership capabilities; adequacy of the time commitment of the Principal Investigator;

2. Degree to which the organization and leadership of the Center promote and facilitate scientific interactions among projects and Center infrastructure (e.g., shared resources) in the conduct of research;

3. Effectiveness of plans for promoting multidisciplinary research at the Center;

4. Effectiveness of plans for integrating subproject research, cores and resources with Center programs;

5. Adequacy of tangible institutional commitments that will enable and facilitate the research objectives of the Center (e.g., special facilities, recruitments, discretionary resources such as dollars and space);

Interactions with Other Centers of Excellence in Health Marketing and Health Communication

1. Adequacy of plans to promote and maintain communication between, and integration of scientific subprojects of mutual interest at other Centers of Excellence in Health Marketing and Health Communication, and with the CDC in sharing information, in assessing scientific progress, in identifying new research opportunities and in establishing scientific priorities.

Linkages with Other Organizations

1. Evidence of structured linkages to, collaborative and cooperative relationships with, local and state public health agencies, other public and private organizations that have an interest in health marketing and health communication and population health improvement, including other governmental agencies, etc.

2.A. Additional Review Criteria:

In addition to the above criteria, in accordance with DHHS policy, all applications will also be reviewed with respect to the following:

Additional information on these requirements can be found on the CDC web site at the following Internet address: http://www.cdc.gov/od/pgo/funding/ARs.htm.

2.B. Additional Review Considerations

Budget: While the priority score will not be affected by evaluation of the budget, the scientific review group will examine the reasonableness of the proposed budget and the requested period of support in relation to the proposed research.

3. Anticipated Announcement and Award Dates
Not applicable

Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the Principal Investigator will also receive a written critique called a summary statement.

Those applications under consideration for funding will be contacted by the Grants Management Specialist (GMS) of the Procurements and Grants Office (PGO) for additional information.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The notice of award signed by the Grants Management Officer is the authorizing document. This document will be mailed and/or emailed to the recipient fiscal officer identified in the application.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See also Section IV.5 “Funding Restrictions”.

2. Administrative and National Policy Requirements

The Code of Federal Regulations 45 CFR Part 74 and Part 92 have details about policy requirements. For more information on the Code of Federal Regulations, see the National Archives and Records Administration at the following Internet address: http://www.access.gpo.gov/nara/cfr/cfr-table-search.html. The following additional requirements can be found in Section VIII. Other Information of this document or on the CDC website at the following Internet address: http://www.cdc.gov/od/pgo/funding/ARs.htm. These will be incorporated into the award statement and will be provided to the Principal Investigator as well as to the appropriate institutional official, at the time of award.

2.A. Cooperative Agreement Terms and Conditions of Award
Not applicable

3. Reporting

You must provide CDC with an original, plus two hard copies of the following reports:

1. Interim progress report, (use form PHS 2590, OMB Number 0925-0001, rev. 09/2004 http://grants.nih.gov/grants/funding/2590/2590.htm) no less than 90 days before the end of the budget period. The progress report will serve as your non-competing continuation application, and must contain the following elements:

a. Current Budget Period Activities Objectives.
b. Current Budget Period Financial Progress.
c. New Budget Period Program Proposed Activity Objectives.
d. Budget.
e. Measures of Effectiveness.
f. Additional Requested Information.

2. Annual Progress Report, due 90 days after the end of the budget period.

3. Financial status report, no more than 90 days after the end of the budget period

4. Final financial and performance reports, no more than 90 days after the end of the project period.

These reports must be mailed to the Grants Management Specialist listed in the “Agency Contacts” section of this announcement.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:

1. Scientific/Research Contact:

Juliana K. Cyril, MPH, Ph.D.
Scientific Program Administrator
Office of Public Health Research
Centers for Disease Control and Prevention
1600 Clifton Road, N.E., MS D-72
Atlanta, GA 30333
Telephone: (404) 371-5285
FAX: (404) 371-5215
Email: jcyril@cdc.gov

2. Peer Review Contact:

Mary Lerchen, Dr.PH. , MS
Scientific Review Administrator
Office of Public Health Research
Centers for Disease Control and Prevention
1600 Clifton Road, N.E., MS D-72
Atlanta, GA 30333
Telephone: (404) 371-5480
FAX: (404) 371-5215
Email: MLL0@cdc.gov

3. Financial or Grants Management Contact:

Mattie B. Jackson
Grants Management Specialist
Centers for Disease Control and Prevention
Procurement and Grants Office
Acquisition and Assistance Branch VIII
2920 Brandywine Road, MS K-69
Atlanta, GA  30341
Telephone:  (770) 488-2696
E-mail: mij3@cdc.gov

Section VIII. Other Information

Required Federal Citations

Human Subjects Requirements
If the proposed project involves research on human subjects, the applicant must comply with the Department of Health and Human Services (DHHS) Regulations (Title 45 Code of Federal Regulations Part 46) regarding the protection of human research subjects. All awardees of CDC grants and cooperative agreements and their performance sites engaged in human subjects research must file an assurance of compliance with the Regulations and have continuing reviews of the research protocol by appropriate institutional review boards.

In order to obtain a Federal-wide Assurance (FWA) of Protection for Human Subjects, the applicant must complete an on-line application at the Office for Human Research Protections (OHRP) website or write to the OHRP for an application. OHRP will verify that the Signatory Official and the Human Subjects Protections Administrator have completed the OHRP Assurance Training/Education Module before approving the FWA. Existing Multiple Project Assurances (MPAs), Cooperative Project Assurances (CPAs), and Single Project Assurances (SPAs) remain in full effect until they expire or until December 31, 2003, whichever comes first.

To obtain a FWA contact the OHRP at: http://www.hhs.gov/ohrp/assurances/assurances_index.html

OR

If your organization is not Internet-active, please obtain an application by writing to:

Office for Human Research Protections (OHRP)
Department of Health and Human Services
6100 Executive Boulevard, Suite 3B01, MSC 7501
Rockville, Maryland 20892-7507

(Note: For Express or Hand Delivered Mail, Use Zip Code 20852)

Note: In addition to other applicable committees, Indian Health Service (IHS) institutional review committees must also review the project if any component of IHS will be involved with or will support the research. If any American Indian community is involved, its tribal government must also approve the applicable portion of that project.

Requirements for Inclusion of Women and Racial and Ethnic Minorities in Research
It is the policy of the Centers for Disease Control and Prevention (CDC) and the Agency for Toxic Substances and Disease Registry (ATSDR) to ensure that individuals of both sexes and the various racial and ethnic groups will be included in CDC/ATSDR-supported research projects involving human subjects, whenever feasible and appropriate. Racial and ethnic groups are those defined in OMB Directive No. 15 and include American Indian or Alaska Native, Asian, Black or African American, Hispanic or Latino, Native Hawaiian or Other Pacific Islander. Applicants shall ensure that women, racial and ethnic minority populations are appropriately represented in applications for research involving human subjects. Where clear and compelling rationale exist that inclusion is inappropriate or not feasible, this situation must be explained as part of the application. This policy does not apply to research studies when the investigator cannot control the race, ethnicity, and/or sex of subjects. Further guidance to this policy is contained in the Federal Register, Vol. 60, No. 179, pages 47947-47951, and dated Friday, September 15, 1995.

Animal Subjects Requirements
If the proposed project involves research on animal subjects, compliance with the "PHS Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions" is required. An applicant (as well as each subcontractor or cooperating institution that has immediate responsibility for animal subjects) proposing to use vertebrate animals in CDC-supported activities must file (or have on file) the Animal Welfare Assurance with the Office of Laboratory Animal Welfare (OLAW) at the National Institutes of Health. The applicant must provide in the application the assurance of compliance number and evidence of review and approval (including the date of the most recent approval) by the Institutional Care and Use Committee (IACUC). Web page: http://grants.nih.gov/grants/olaw.

HIV/AIDS Confidentiality Provisions
Recipients must have confidentiality and security provisions to protect data collected through HIV/AIDS surveillance, including copies of local data release policies; employee training in confidentiality provisions; State laws, rules, or regulations pertaining to the protection or release of surveillance information; and physical security of hard copies and electronic files containing confidential surveillance information.

Describe laws, rules, regulations, or health department policies that require or permit the release of patient-identifying information collected under the HIV/AIDS surveillance system to entities outside the public health department; describe also the measures the health department has taken to ensure that persons reported to the surveillance system are protected from further or unlawful disclosure.

Some projects may require Institutional Review Board (IRB) approval or a certificate of confidentiality.

HIV Program Review Panel Requirements
Compliance with Content of AIDS-Related Written Materials, Pictorials, Audiovisuals, Questionnaires, Survey Instruments, and Educational Sessions (June 1992) is required.

To meet the requirements for a program review panel, you are encouraged to use an existing program review panel, such as the one created by the State health department's HIV/AIDS prevention program. If you form your own program review panel, at least one member must be an employee (or a designated representative) of a State or local health department. List the names of the review panel members on the Assurance of Compliance form, CDC 0.1113. Submit the program review panel's report that all materials have been approved.

If the proposed project involves hosting a conference, submit the program review panel's report stating that all materials, including the proposed conference agenda, have been approved. Submit a copy of the proposed agenda with the application.

Before funds are used to develop educational materials, determine whether suitable materials already exist in the CDC National AIDS Clearinghouse.

Patient Care
Ensure that all STD or HIV infected patients enrolled in the proposed project will be linked to an appropriate local care system that can address their specific needs, such as medical care, counseling, social services, and therapy.

Public Health System Reporting Requirements
This program is subject to the Public Health System Reporting Requirements. Under these requirements, all community-based non-governmental organizations submitting health services applications 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 application deadline 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 exceed one page, and include the following:

A description of the population to be served.
A summary of the services to be provided.
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.

Paperwork Reduction Act Requirements
Under the Paperwork Reduction Act, projects that involve the collection of information from 10 or more individuals and funded by a grant or a cooperative agreement will be subject to review and approval by the Office of Management and Budget (OMB).

Smoke-Free Workplace Requirements
CDC strongly encourages all recipients to provide a smoke-free workplace and to promote abstinence from all tobacco products. 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, or early childhood development services are provided to children.

Healthy People 2010
CDC is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a national activity to reduce morbidity and mortality and improve the quality of life. For the conference copy of "Healthy People 2010," visit the internet site: http://www.health.gov/healthypeople.

Lobbying Restrictions
Applicants should be aware of restrictions on the use of HHS funds for lobbying of Federal or State legislative bodies. Under the provisions of 31 U.S.C. Section 1352, recipients (and their sub-tier contractors) are prohibited from using appropriated Federal funds (other than profits from a Federal contract) for lobbying congress or any Federal agency in connection with the award of a particular contract, grant, cooperative agreement, or loan. This includes grants/cooperative agreements that, in whole or in part, involve conferences for which Federal funds cannot be used directly or indirectly to encourage participants to lobby or to instruct participants on how to lobby.

In addition no part of CDC appropriated funds, shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress or any State or local legislature, except in presentation to the Congress or any State or local legislature itself. No part of the appropriated funds shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State or local legislature.

Any activity designed to influence action in regard to a particular piece of pending legislation would be considered "lobbying." That is lobbying for or against pending legislation, as well as indirect or "grass roots" lobbying efforts by award recipients that are directed at inducing members of the public to contact their elected representatives at the Federal or State levels to urge support of, or opposition to, pending legislative proposals is prohibited. As a matter of policy, CDC extends the prohibitions to lobbying with respect to local legislation and local legislative bodies.

The provisions are not intended to prohibit all interaction with the legislative branch, or to prohibit educational efforts pertaining to public health. Clearly there are circumstances when it is advisable and permissible to provide information to the legislative branch in order to foster implementation of prevention strategies to promote public health. However, it would not be permissible to influence, directly or indirectly, a specific piece of pending legislation.

It remains permissible to use CDC funds to engage in activity to enhance prevention; collect and analyze data; publish and disseminate results of research and surveillance data; implement prevention strategies; conduct community outreach services; provide leadership and training, and foster safe and healthful environments.

Recipients of CDC grants and cooperative agreements need to be careful to prevent CDC funds from being used to influence or promote pending legislation. With respect to conferences, public events, publications, and "grassroots" activities that relate to specific legislation, recipients of CDC funds should give close attention to isolating and separating the appropriate use of CDC funds from non-CDC funds. CDC also cautions recipients of CDC funds to be careful not to give the appearance that CDC funds are being used to carry out activities in a manner that is prohibited under Federal law.

Prohibition on Use of CDC Funds for Certain Gun Control Activities
The Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act specifies that: "None of the funds made available for injury prevention and control at the Centers for Disease Control and Prevention may be used to advocate or promote gun control."

Anti-Lobbying Act requirements prohibit lobbying Congress with appropriated Federal monies. Specifically, this Act prohibits the use of Federal funds for direct or indirect communications intended or designed to influence a member of Congress with regard to specific Federal legislation. This prohibition includes the funding and assistance of public grassroots campaigns intended or designed to influence members of Congress with regard to specific legislation or appropriation by Congress.

In addition to the restrictions in the Anti-Lobbying Act, CDC interprets the language in the CDC's Appropriations Act to mean that CDC's funds may not be spent on political action or other activities designed to affect the passage of specific Federal, State, or local legislation intended to restrict or control the purchase or use of firearms.

Accounting System Requirements
The services of a certified public accountant licensed by the State Board of Accountancy or the equivalent must be retained throughout the project 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 that will record receipts and expenditures of Federal funds in accordance with accounting principles, Federal regulations, and terms of the cooperative agreement or grant.

Capability Assessment
It may be necessary to conduct an on-site evaluation of some applicant organization's financial management capabilities prior to or immediately following the award of the grant or cooperative agreement. Independent audit statements from a Certified Public Accountant (CPA) for the preceding two fiscal years may also be required.

Proof of Non-profit Status
Proof of nonprofit status must be submitted by private nonprofit organizations with the application. Any of the following is acceptable evidence of nonprofit status: (a) a reference to the applicant organization's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in section 501(c)(3) of the IRS Code; (b) a copy of a currently valid IRS tax exemption certificate; (c) a statement from a State taxing body, State Attorney General, or other appropriate State Official certifying that the applicant organization has a nonprofit status and that none of the net earnings accrue to any private shareholders or individuals; (d) a certified copy of the organization's certificate of incorporation or similar document that clearly establishes nonprofit status; (e) any of the above proof for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local nonprofit affiliate.

Security Clearance Requirement
All individuals who will be performing work under a grant or cooperative agreement in a CDC-owned or leased facility (on-site facility) must receive a favorable security clearance, and meet all security requirements. This means that all awardee employees, fellows, visiting researchers, interns, etc., no matter the duration of their stay at CDC must undergo a security clearance process.

Small, Minority, And Women-owned Business
It is a national policy to place a fair share of purchases with small, minority and women-owned business firms. The Department of Health and Human Services is strongly committed to the objective of this policy and encourages all recipients of its grants and cooperative agreements to take affirmative steps to ensure such fairness. In particular, recipients should:

Place small, minority, women-owned business firms on bidders mailing lists.
Solicit these firms whenever they are potential sources of supplies, equipment, construction, or services.
Where feasible, divide total requirements into smaller needs, and set delivery schedules that will encourage participation by these firms.
Use the assistance of the Minority Business Development Agency of the Department of Commerce, the Office of Small and Disadvantaged Business Utilization, DHHS, and similar state and local offices.

Research Integrity
The signature of the institution official on the face page of the application submitted under this Program Announcement is certifying compliance with the Department of Health and Human Services (DHHS) regulations in Title 42 Part 50, Subpart A, entitled "Responsibility of PHS Awardee and Applicant Institutions for Dealing with and Reporting Possible Misconduct in Science."

The regulation places several requirements on institutions receiving or applying for funds under the PHS Act that are monitored by the DHHS Office of Research Integrity's (ORI) Assurance Program.

For example:

Section 50.103(a) of the regulation states: "Each institution that applies for or receives assistance under the Act for any project or program which involves the conduct of biomedical or behavioral research must have an assurance satisfactory to the Secretary (DHHS) that the applicant: (1) Has established an administrative process, that meets the requirements of this subpart, for reviewing, investigating, and reporting allegations of misconduct in science in connection with PHS-sponsored biomedical and behavioral research conducted at the applicant institution or sponsored by the applicant; and (2) Will comply with its own administrative process and the requirements of this Subpart."

Section 50.103(b) of the regulation states that: "an applicant or recipient institution shall make an annual submission to the [ORI] as follows: (1) The institution's assurance shall be submitted to the [ORI], on a form prescribed by the Secretary,...and updated annually thereafter...(2) An institution shall submit, along with its annual assurance, such aggregate information on allegations, inquiries, and investigations as the Secretary may prescribe."

An additional policy is added in the year 2000 that "requires research institutions to provide training in the responsible conduct of research to all staff engaged in research or research training with PHS funds.

Compliance with 45 C.F.R. Part 87
Faith-based organization are eligible to receive federal financial assistance, and their applications are evaluated in the same manner and using the same criteria as those for non-faith-based organizations in accordance with Executive Order 13279, Equal Protection of the Laws for Faith-Based and Community Organizations. All applicants should, however, be aware of restrictions on the use of direct financial assistance from the Department of Health and Human Services (DHHS) for inherently religious activities. Under the provisions of Title 45, Parts 74, 87, 92 and 96, organizations that receive direct financial assistance from DHHS under any DHHS program may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as a part of the programs or services funded with direct financial assistance from DHHS. If an organization engages in such activities, it must offer them separately, in time or location, from the programs or services funded with direct DHHS assistance, and participation must be voluntary for the beneficiaries of the programs or services funded with such assistance. A religious organization that participates in the DHHS funded programs or services will retain its independence from Federal, State, and local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that it does not use direct financial assistance from DHHS to support inherently religious activities such as those activities described above. A faith-based organization may, however, use space in its facilities to provide programs or services funded with financial assistance from DHHS without removing religious art, icons, scriptures, or other religious symbols. In addition, a religious organization that receives financial assistance from DHHS retains its authority over its internal governance, and it may retain religious terms in its organization= s name, select its board members on a religious basis, and include religious references in its organization= s mission statements and other governing documents in accordance with all program requirements, statutes, and other applicable requirements governing the conduct of DHHS funded activities. For further guidance on the use of DHHS direct financial assistance see Title 45, Code of Federal Regulations, Part 87, Equal Treatment for Faith-Based Organizations, and visit the internet site: http://www.whitehouse.gov/government/fbci/.

Health Insurance Portability and Accountability Act Requirements
Recipients of this grant award should note that pursuant to the Standards for Privacy of Individually Identifiable Health Information promulgated under the Health Insurance Portability and Accountability Act (HIPAA) (45 CFR Parts 160 and 164) covered entities may disclose protected health information to public health authorities authorized by law to collect or receive such information for the purpose of preventing or controlling disease, injury, or disability, including, but not limited to, the reporting of disease, injury, vital events such as birth or death, and the conduct of public health surveillance, public health investigations, and public health interventions. The definition of a public health authority includes a person or entity acting under a grant of authority from or contract with such public agency. CDC considers this project a public health activity consistent with the Standards for Privacy of Individually Identifiable Health Information and CDC will provide successful recipients a specific grant of public health authority for the purposes of this project.

Release and Sharing of Data
The Data Release Plan is the Grantee's assurance that the dissemination of any and all data collected under the CDC data sharing agreement will be released as follows:

a. In a timely manner.
b. Completely, and as accurately as possible.
c. To facilitate the broader community.
d. Developed in accordance with CDC policy on Releasing and Sharing Data.

April 16, 2003, http://www.cdc.gov/od/foia/policies/sharing.htm, and in full compliance with the 1996 Health Insurance Portability and Accountability Act (HIPPA), (where applicable), The Office of Management and Budget Circular A110, (2000) revised 2003, http://www.whitehouse.gov/omb/query.html?col=omb&qt=Releasing+and+Sharing+of+Data and Freedom of Information Act (FOIA), http://straylight.law.cornell.edu/uscode/html/uscode05/usc_sec_05_00000552---a000-.html.

Applications must include a copy of the applicant's Data Release Plan.  Applicants should provide CDC with appropriate documentation on the reliability of the data.  Applications submitted without the required Plan may be ineligible for award.  Award will be made when reviewing officials have approved an acceptable Plan.  The successful applicant and the Program Manager will determine the documentation format.  CDC recommends data is released in the form closest to micro data and one that will preserve confidentiality.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


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