Federal Register / Vol. 63, No. 112 /Thursday, June 11, 1998 / Notices 31995

GENERAL ACCOUNTING OFFICE

System Requirements Checklists

AGENCY: General Accounting Office.

ACTION: Notice of document availability.

SUMMARY: The General Accounting

Office (GAO) is concurrently issuing

three checklists to be used as tools to

help agencies review their financial

management systems and assist auditors

with their responsibilities under the

Federal Financial Management

Improvement Act (FFMIA) of 1996. The

first checklist, the Framework For

Federal Financial Management System

Checklist (GAO/AIMD–98–21.2.1), is

based on the Joint Financial

Management Improvement Program

(JFMIP) framework document and is

primarily a reference source rather than

a standard-setting document. The other

two documents reflect the system

requirements defined by JFMIP and are

the: Core Financial System Checklist

(GAO/AIMD–98–21.2.2), and Inventory

System Checklist (GAO/AIMD–98–

21.2.4). Although these checklists are

not required to be used by agencies, this

notice indicates that the checklists are

available from GAO for immediate use.

DATES: June 5, 1998.

ADDRESSES: Copies of the system

requirement checklists are available by

(1) pick-up at Document Distribution,

U.S. General Accounting Office, Room

1100, 700 4th Street, NW. (corner of 4th

and G Streets, NW.), Washington, DC;

(2) mail from U.S. General Accounting

Office, P.O. Box 37050, Washington, DC

20013; (3) phone at 202–512–6000 or

FAX 202–512–6061 or TDD 202–512–

2537; or (4) on GAO’s home page (http:/

/www.gao.gov) on the Internet.

FOR FURTHER INFORMATION CONTACT:

Robert W. Gramling, 202–512–9406.

SUPPLEMENTARY INFORMATION: The

FFMIA requires, among other things,

that agencies implement and maintain

financial management systems that

substantially comply with federal

financial management systems

requirements. These system

requirements are detailed in the

Financial Management Systems

Requirements series issued by JFMIP

and Office of Management and Budget

(OMB) Circular A–127, Financial

Management Systems.

The JFMIP requirements documents

identify: (1) a framework for financial

management systems, (2) core financial

systems requirements, and (3) 16 other

systems that support agency operations.

To date, JFMIP has issued the

framework and core documents, and 7

of the 16 systems (inventory, seized/

forfeited asset, direct loan, guaranteed

loan, travel, personnel-payroll, and

managerial cost accounting). GAO plans

to issue a checklist for each of the JFMIP

systems requirements documents. The

three checklists being issued in final

were initially issued as exposure drafts.

Comments received were analyzed and

considered.

OMB Circular A–127 and OMB’s

Implementation Guidance for the

Federal Financial Management

Improvement Act (FFMIA) of 1996,

issued September 9, 1997, provide the

basis for assessing compliance with the

FFMIA requirement of agencies to

implement and maintain financial

management systems that comply

substantially with federal requirements.

OMB’s guidance provides indicators for

chief financial officers and inspectors

general to assist them in determining

whether the agency’s financial

management systems substantially

comply with federal financial

management systems requirements. The

annual assurance statement required

pursuant to section 4 of the Federal

Managers’ Financial Integrity Act is one

of those indicators. Agencies can use

GAO’s checklists to help determine

annual compliance with section 4 of the

Integrity Act.

Jeffrey C. Steinhoff,

Director of Planning and Reporting,

Accounting and Information Management

Division.

[FR Doc. 98–15557 Filed 6–10–98; 8:45 am]

BILLING CODE 1610–02–P

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Centers for Disease Control and

Prevention

[Announcement Number 98051]

Cooperative Agreements for Enhanced

State-Based Birth Defect Surveillance

and Use of Surveillance Data To Guide

Prevention and Intervention Programs

A. Purpose

The Centers for Disease Control and

Prevention (CDC) announces the

availability of fiscal year (FY) 1998

funds for a cooperative agreement

program for developing and improving

birth defect surveillance; and using

surveillance data to develop birth defect

prevention programs and activities to

improve the access of children born

with birth defects to health services and

early intervention programs. This

program addresses the ‘‘Healthy People

2000’’ priority areas of Substance

Abuse, Alcohol and Other Drugs,

Environmental Health, Maternal and

Infant Health, and Surveillance and

Data Systems.

The purpose of the program is to

support the development,

implementation, expansion, and

evaluation of State-based birth defect

surveillance systems; the development

and implementation of State-based

programs to prevent birth defects; and

the development and implementation of

activities to improve the access of

children with birth defects to health

services and early intervention

programs. More specifically, the

purpose of this program is to assist

States:

a. To improve the timeliness of neural

tube defect (NTD) surveillance in order

to prevent the recurrence of NTDaffected pregnancies among women who

have had NTD-affected pregnancies, and

to improve the completeness of NTD

surveillance in selected areas in order to

evaluate progress made in the

prevention of occurrent NTDs in the

population;

b. To develop and implement

methodologies and approaches which

will improve or expand the State’s

capacity to ascertain cases and generate

timely population-based data of major

birth defects; and

c. To use surveillance data to design,

implement and evaluate programs to

prevent birth defects and improve the

access of children with birth defects to

comprehensive, community-based,

family-centered care.

B. Eligible Applicants

Assistance will be provided only to

State and local public health agencies

that are officially recognized as such,

including State, local, county, citycounty, district, and territorial health

departments. Also, universities with

formal agreements for working with

State or local health departments for

carrying out the State’s surveillance and

surveillance-based research are eligible

to apply.

C. Availability of Funds

Approximately $1,500,000 is available

in FY 1998 to fund approximately 10 to

16 awards. It is expected that awards

will be made to 3 to 5 States with no

birth defect surveillance systems; 3 to 5

States with newly implemented

surveillance systems or systems which

are only partially operational; and 3 to

5 States with ongoing, operational birth

defect surveillance systems. It is

expected that awards will range from

$50,000 to $150,000. It is expected that

the awards will begin on or about

September 30, 1998, and will be made

for a 12-month budget period within a
31996 Federal Register / Vol. 63, No. 112 /Thursday, June 11, 1998 / Notices

project period of up to 3 years. Funding

estimates may vary and are subject to

change.

These awards may be used for

personnel services, equipment, travel,

and other costs related to project

activities. Project funds may not be used

to supplant State funds available for

birth defect surveillance, prevention, or

health care services.

Continuation awards within an

approved project period will be made

on the basis of satisfactory progress as

evidenced by required reports and other

communication with CDC staff, and the

availability of funds.

D. Cooperative Activities

In conducting activities to achieve the

purpose of this program, the recipient

will be responsible for the activities

under A. Recipient activities for States

with no birth defect surveillance

systems; B. Recipient activities for

States with newly implemented

surveillance systems or systems which

are only partially operational; or C.

Recipient activities for States with

ongoing, operational birth defect

surveillance systems; and CDC will be

responsible for the activities listed

under D. CDC Activities. A list of States

and their designated category (A, B or C)

has been prepared based on information

CDC currently has on each State

program. This list is available with the

application materials. If States disagree

with their designated category, they may

provide written justification along with

the application as to which category of

recipient activities (A, B, or C) the State

should be placed in.

A. Recipient activities for States with

no birth defect surveillance systems:

1. Develop and implement an

approach to prevent the recurrence of

NTDs in the State including: (1) timely

ascertainment of new NTD cases in the

population (prenatally diagnosed cases

may be ascertained but are not required

to be ascertained); and (2) referral of

affected families for sensitive and

appropriate education/counseling

interventions to prevent the recurrence

of NTDs;

2. With the goal of generating data to

guide prevention and intervention

programs, develop and begin

implementation of a State-based

surveillance system to ascertain cases

and generate timely population-based

data of major birth defects occurring in

the State. Analyze the surveillance data

generated by the system in a timely

fashion (including rates and trends of

major birth defects) and share that data

with appropriate organizations within

the State and with other States;

3. Working with the appropriate

partners in the State, (1) develop a plan

for a birth defect prevention program

(e.g., NTD occurrence prevention) and/

or, (2) develop a plan for activities to

improve the access of children with

birth defects to comprehensive,

community-based, family-centered care.

B. Recipient activities for States with

newly implemented surveillance

systems or systems which are only

partially operational:

1. Develop and implement an

approach to prevent the recurrence of

NTDs in the State including: (1) timely

ascertainment of new NTD cases in the

population (prenatally diagnosed cases

may be ascertained but are not required

to be ascertained); and (2) referral of

affected families for sensitive and

appropriate education/counseling

interventions to prevent the recurrence

of NTDs;

2. With the goal of generating data to

guide prevention and intervention

programs, develop and implement

methodologies and approaches which

will improve, sustain, and expand the

capacity of the existing State-based

surveillance system to ascertain cases

and generate timely population-based

data of major birth defects occurring in

the State. Analyze the data generated by

the surveillance system in a timely

fashion (including rates and trends of

major birth defects) and share that data

with appropriate organizations within

the State and with other States; and

3. Working with the appropriate

partners in the State, (1) develop and

begin implementation of a birth defects

prevention program (e.g., NTD

occurrence prevention) AND/OR, (2)

develop and begin implementation of

activities to improve the access of

children with birth defects to

comprehensive, community-based,

family-centered care.

C. Recipient activities for States with

ongoing, operational birth defect

surveillance systems:

1. Develop, implement, and evaluate

surveillance methodologies and

approaches to ascertain new cases of

NTDs (including those prenatally

diagnosed, if possible) in a more timely

manner, and use the data to: (1) develop

and implement an approach to prevent

the recurrence of NTDs in the State

including the referral of affected

families for sensitive and appropriate

education/counseling interventions to

prevent the recurrence of NTDs, and (2)

evaluate progress made in the

prevention of occurrent NTDs in the

population;

2. Evaluate current methodologies

used to ascertain cases and generate

timely population-based data of major

birth defects occurring in the State, and

develop and implement methodologies

and approaches which will improve or

expand the capacity of the existing

State-based surveillance system.

Analyze the data generated by the

surveillance system in a timely fashion

(including rates and trends of major

birth defects) and share that data with

appropriate organizations within the

State and with other States;

3. Working with the appropriate

partners in the State, (1) develop and

implement a birth defect prevention

program (e.g., NTD occurrence

prevention) and monitor changes in the

prevalence of the birth defects being

targeted AND/OR, (2) develop and

implement activities to improve the

access of children with birth defects to

comprehensive, community-based,

family-centered care; and

4. Prepare a document describing the

surveillance methodologies used to

generate timely NTD data and how the

data was used to monitor progress made

in the prevention of NTDs; and describe

the use of your surveillance data for

developing and implementing programs

to prevent birth defects or activities to

improve access to health services and

early intervention programs. This

document will be a resource to be

shared with other States.

D. CDC activities:

1. Provide technical assistance.

2. Assist recipients in designing,

developing, and evaluating

methodologies and approaches used for

State-based birth defect surveillance.

3. Assist recipients in analyzing

surveillance data related to birth

defects.

4. Assist recipients in designing plans

for prevention programs and plans to

improve the access of children with

birth defects to health services and

intervention programs.

5. Assist recipients in developing

methods to: ascertain NTDs in a timely

manner, prevent recurrence of NTDs in

families, and evaluate progress made in

the prevention of occurrent NTDs.

6. Provide a reference point for

sharing regional and national data and

information pertinent to the

surveillance and prevention of birth

defects.

E. Application Content

Use the information in the

COOPERATIVE ACTIVITIES, OTHER

REQUIREMENTS, and EVALUATION

CRITERIA sections to develop the

application content. Applications will

be evaluated on the criteria listed, so it

is important to follow them in

describing the program plan.
Federal Register / Vol. 63, No. 112 /Thursday, June 11, 1998 / Notices 31997

Applications must be developed in

accordance with PHS Form 5161–1

(Revised 7/92, OMB Control number

0937–0189), information contained in

the program announcement and the

instructions and format provided below:

1. Abstract

A one-page, single-spaced, typed

abstract must be submitted with the

application. The heading should

include the title of the grant program,

project title, organization, name and

address, project director and telephone

number. The abstract should briefly

summarize the program for which funds

are requested, the activities to be

undertaken, and the applicant’s

organization and composition. The

abstract should follow ‘‘the printed

forms’’ and precede the Program

Narrative.

2. Program Narrative

The Program Narrative should

specifically address item A, B, or C in

the ‘‘COOPERATIVE ACTIVITIES.’’ All

items of the Program Narrative (i.e.,

Project Description, Results or Benefits

Expected, Approach, Evaluation,

Geographic Location, Additional

Information) should begin on a new

page. If the proposed program is a

multiple-year project, the applicant

should provide detailed description of

first year activities, and briefly describe

future year objectives and activities. The

‘‘EVALUATION CRITERIA’’ will serve

as the basis for evaluating the

application, therefore, the narrative of

the application should address:

1. Applicant’s understanding of the

problem;

2. Impact on timely ascertainment of

new NTD cases and use of the data for

NTD recurrence prevention;

3. Impact on State-based birth defects

surveillance;

4. Use of the surveillance data for

prevention and intervention;

5. Organizational and program

personnel capability;

6. Matching funds;

7. Budget justification and adequacy

of facilities; and

8. Human subjects review.

The Program Narrative section should

not exceed 40 pages, excluding

attachments (e.g., resumes, appendices,

etc.). Do not include a detailed budget

nor detailed budget justification as part

of the Program Narrative.

If the applicant is a university,

evidence of an existing formal

agreement with the State or local health

departments for carrying out the State’s

surveillance activities must be included.

Applicant’s are required to submit an

original application and 2 copies. The

original and each copy of the

application must be submitted

unstapled and unbound. All material

must be typewritten, double-spaced,

with un-reduced type on 81⁄2′′ by 11′′

paper, with at least 1′′ margins, headers

and footers, and printed on one side

only.

All graphics, maps, overlays, etc.,

should be in black and white and meet

the above criteria.

F. Application Submission and

Deadline

Application

The original and two copies of the

application PHS Form 5161–1 (Revised

7/92, OMB Control number 0937–0189)

must be submitted on or before July 27,

1998 to: David Elswick, Grants

Management Specialist, Grants

Management Branch, Procurement and

Grants Office, Centers for Disease

Control and Prevention (CDC), 255 East

Paces Ferry Road, NE., Room 300,

Mailstop E–13, Atlanta, Georgia 30305–

2209.

1. Deadline: Applications shall be

considered as meeting the deadline if

they are either:

A. Received on or before the deadline

date; or

B. Sent on or before the deadline date

and received in time for submission to

the objective review group. (Applicants

must request a legibly dated U.S. Postal

Service postmark or obtain a legibly

dated receipt from a commercial carrier

or U.S. Postal Service. Private metered

postmarks will not be acceptable as

proof of timely mailing.)

2. Late Applications: Applications

which do not meet the criteria in 1.A.

or 1.B., above are considered late

applications. Late applications will not

be considered in the current

competition 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 as they relate to the

applicant’s response to either A, B, or C

in the ‘‘COOPERATIVE ACTIVITIES.’’

1. Applicant’s understanding of the

problem (10 percent). The extent to

which the applicant has a clear, concise

understanding of the requirements,

objectives, and purpose of the

cooperative agreement. The extent to

which the application reflects an

understanding of the complexities of

birth defects surveillance.

2. Impact on timely ascertainment of

new NTD cases and use of the data for

NTD recurrence prevention (20 percent).

The extent to which the applicant

describes the proposed methods for the

timely ascertainment of new NTD cases

occurring in the population, and plans

for referral of women who have had an

NTD-affected pregnancy for education/

counseling about the importance of folic

acid. Specific criteria include:

a. Plan for ascertainment of NTD

cases;

b. Timeliness of NTD case

ascertainment; and

c. Plan for referral of families for

education/counseling.

3. Impact on State-based birth defects

surveillance (30 percent).

The extent to which the applicant

describes the anticipated level of impact

this cooperative agreement will have on

birth defect surveillance activities in the

State. The current and proposed

activities evaluated in this criteria are

specific for the three different recipient

categories (A, B, or C) as outlined in the

COOPERATIVE ACTIVITIES:

A. Evaluation criteria for category A

(States with no birth defect surveillance

systems):

a. Plans for developing State-based

birth defects surveillance;

b. Methods of case ascertainment;

c. Timeliness of case ascertainment;

d. Level of coverage of the population;

e. Specific birth defects ascertained;

and

f. Plans for analyzing and reporting

surveillance data.

B. Evaluation criteria for category B

(States with newly implemented birth

defect surveillance systems or systems

which are only partially operational):

a. Plans for improving/expanding

State-based birth defects surveillance;

b. Methods of case ascertainment;

c. Timeliness of case ascertainment;

d. Level of coverage of the population;

e. Specific birth defects ascertained;

and

f. Plans for analyzing and reporting

surveillance data.

C. Evaluation criteria for category C

(States with ongoing, operational birth

defect surveillance systems):

a. Methods for evaluating current

State birth defect surveillance system;

b. Plans for improving/expanding

State-based birth defects surveillance;

c. Methods of case ascertainment;

d. Timeliness of case ascertainment;

e. Level of coverage of the population;

f. Specific birth defects ascertained;

g. Plans for analyzing and reporting

surveillance data; and

h. Plan to evaluate progress made in

the prevention of occurrent NTDs in the

population (including ascertainment of

prenatally diagnosed NTDs, if possible).

4. Use of the surveillance data for

prevention and intervention (20

percent)
31998 Federal Register / Vol. 63, No. 112 /Thursday, June 11, 1998 / Notices

The extent to which the applicant

describes the plans for using

surveillance data to develop and

implement programs to prevent birth

defects and/or activities to improve the

access of children with birth defects to

health services and early interventions.

Specific criteria include:

a. Plan for working with appropriate

partners in the State; and

b. Plan for using the surveillance data

to develop prevention or intervention

programs.

5. Organizational and program

personnel capability (15 percent)

The extent to which the applicant has

the experience, skills, and ability to

develop and improve birth defects

surveillance and use surveillance data

to develop prevention or intervention

programs. The adequacy of the present

staff and capability to assemble

competent staff to implement a birth

defects surveillance system and develop

programs for prevention or intervention.

The applicant shall identify, to the

extent possible, all current and potential

personnel who will work on this

cooperative agreement, including

qualifications and specific experience as

it relates to the requirements set forth in

this request.

6. Matching funds (5 percent)

The extent to which the applicant

proposes matching funds. Matching

funds may be contributions by the

recipient of at least five percent of

Federal funds awarded under this

program. The applicant should identify

and describe:

a. The amount expended during the

preceding year for birth defects

surveillance activities and birth defects

prevention and intervention activities.

These amounts will be used to establish

a baseline for current and future match

amounts; and

b. Sources of matching funds for the

project and the estimated amounts from

each.

7. Budget justification and adequacy

of facilities (not scored)

The budget will be evaluated for the

extent to which it is reasonable, clearly

justified, and consistent with the

intended use of the cooperative

agreement funds. The applicant shall

describe and indicate the availability of

facilities and equipment necessary to

carry out this project. Proposed

matching funds must be detailed in the

budget.

8. Human subject review (not scored)

The applicant must clearly state

whether or not human subjects will be

used in research and ensure that

adequate human subjects protections

will be implemented.

H. Other Requirements

An original and two copies of semiannual progress reports are required of

all grantees. Due dates for the semiannual reports will be established at the

time of award. Final financial status and

performance reports are required no

later than 90 days after the end of the

project period.

Send all reports to: David Elswick,

Grants Management Specialist, Grants

Management Branch, Procurement and

Grants Office, Centers for Disease

Control and Prevention (CDC), 255 East

Paces Ferry Road, NE., Room 300,

Mailstop E–13, Atlanta, Georgia 30305–

2209.

The following additional

requirements are applicable to this

program. For a complete description of

each, see Attachment 1 of the

application kit.

AR98–1 Human Subjects

Requirements

AR98–2 Requirements for Inclusion of

Women and Racial and Ethnic

Minorities in Research

AR98–7 Executive Order 12372

Review

AR98–9 Paperwork Reduction Act

Requirements

AR98–10 Smoke-Free Workplace

Requirements

AR98–11 Healthy People 2000

AR98–12 Lobbying Restrictions

I. Authority and Catalog of Federal

Domestic Assistance Number

This program is authorized under

sections 301(a), 311 and 317C of the

Public Health Service Act [42 U.S.C.

241(a), 243, and 247b–4], as amended.

The Catalog of Federal Domestic

Assistance number is 93.238.

J. Where to Obtain Additional

Information

A complete program description and

information on application procedures

are contained in the application

package. Business management

technical assistance may be obtained

from David C. Elswick, Grants

Management Specialist, Grants

Management Branch, Procurement and

Grants Office, Centers for Disease

Control and Prevention (CDC), 255 East

Paces Ferry Road, NE., Room 300,

Mailstop E–13, Atlanta, Georgia 30305,

telephone (404) 842–6630.

Programmatic technical assistance

may be obtained from Larry D. Edmonds

or Paula W. Yoon, State Services, Birth

Defects and Genetic Diseases Branch,

Division of Birth Defects and

Developmental Disabilities, National

Center for Environmental Health,

Centers for Disease Control and

Prevention (CDC), 4770 Buford Highway

NE., Mailstop F–45, Atlanta, Georgia

30341–3724, telephone (404) 488–7170.

Please refer to Announcement

Number 98051 when requesting

information and submitting an

application.

Dated: June 5, 1998.

Joseph R. Carter,

Acting Associate Director for Management

and Operations, Centers for Disease Control

and Prevention (CDC).

[FR Doc. 98–15543 Filed 6–10–98; 8:45 am]

BILLING CODE 4163–18–P

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Centers for Disease Control and

Prevention

[Announcement Number 98065]

Grant to Study a Healthy Home/Healthy

Community Intervention Notice of

Availability of Funds for Fiscal Year

1998

A. Purpose

The Centers for Disease Control and

Prevention (CDC) announces the

availability of fiscal year (FY) 1998

funds for a grant to evaluate the

effectiveness of a Healthy Homes/

Healthy Community intervention to

improve children’s health by addressing

environmental hazards in deteriorating

communities and inadequate housing.

This program addresses the Healthy

People 2000 priority areas of

Environmental Health, Educational and

Community-Based Programs, and

Maternal and Infant Health.

The purpose of this program is the

implementation and evaluation of an

intervention strategy in a target

neighborhood to prevent childhood

disease caused by health hazards in the

residential environment. This

intervention will be to bring to bear

private- and public-sector financing to

reduce multiple environmental hazards

and associated childhood morbidities at

the level of both individual home and

surrounding neighborhood.

B. Eligible Applicants

Applications may be submitted by

public and private nonprofit

organizations and by governments and

their agencies; that is universities,

colleges, research institutions, hospitals,

other public and private nonprofit

organizations, State and local

governments or their bona fide agent.

Note: Public Law 104–65 states that an

organization described in section 501(c)(4) of

the Internal Revenue Code of 1986 that