CDC-RFA-PS18-1805 (Final).pdf

Centers for Disease Control

National Center for HIV-AIDS, Viral Hepatitis, STD, and TB Prevention

Secure Data Sharing Tool to Support De-duplication of Cases in the National HIV Surveillance

System (NHSS)

CDC-RFA-PS18-1805

Application Due Date: 12/05/2017

Secure Data Sharing Tool to Support De-duplication of Cases in the National HIV Surveillance

System (NHSS)

CDC-RFA-PS18-1805

TABLE OF CONTENTS

Part I. Overview Information A. Federal Agency Name B. Funding Opportunity Title C. Announcement Type D. Agency Funding Opportunity Number E. Catalog of Federal Domestic Assistance (CFDA) Number F. Dates G. Executive Summary

Part II. Full Text A. Funding Opportunity Description B. Award Information C. Eligibility Information D. Application and Submission Information E. Review and Selection Process F. Award Administration Information G. Agency Contacts H. Other Information I. Glossary

Part I. Overview Information Applicants must go to the synopsis page of this announcement at www.grants.gov and click on the "Send Me Change Notifications Emails" link to ensure they receive notifications of any changes to CDC-RFA-PS18-1805. Applicants also must provide an e-mail address to www.grants.gov to receive notifications of changes.

A. Federal Agency Name:

Centers for Disease Control and Prevention (CDC) / Agency for Toxic Substances and Disease Registry (ATSDR) B. Notice of Funding Opportunity (NOFO) Title:

Secure Data Sharing Tool to Support De-duplication of Cases in the National HIV Surveillance System (NHSS) C. Announcement Type: New - Type 1 This announcement is only for non-research activities supported by CDC. If research is proposed, the application will not be considered. For this purpose, research is defined at https ://www.gpo.gov/fdsys/pkg/CFR-2007-title42-vol1/pdf/CFR-2007-title42-vol1-sec52-2.pdf.

Guidance on how CDC interprets the definition of research in the context of public health can be found at https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html (See section 45 CFR 46.102(d)).

D. Agency Notice of Funding Opportunity Number:

CDC-RFA-PS18-1805

E. Catalog of Federal Domestic Assistance (CFDA) Number:

93.940 F. Dates:

1. Due Date for Letter of Intent (LOI): 10/30/2017

2. Due Date for Applications: 12/05/2017, 11:59 p.m. U.S. Eastern

Standard Time, at www.grants.gov.

A Letter of Intent (LOI) is requested (i.e. recommended but not required) to allow CDC program staff to estimate the number of and plan for the review of submitted applications. A completed LOI may be sent via email by October 30, 2017 to Ms. Damarys Cordova dcordova@cdc.gov

3. Date for Informational Conference Call:

Tuesday, October 31, 2017 – 3:00-4:00pm Eastern via online meeting in Skype for Business or by calling (404) 553-8912 (Atlanta Dial-in Conference Region) or (855) 348-8390 (outside of the Atlanta Dial-in Conference Region). When prompted after dialing, enter the Conference ID:

2751505#

Applicants may submit questions as follows:

https://www.grants.gov https://www.gpo.gov/fdsys/pkg/CFR-2007-title42-vol1/pdf/CFR-2007-title42-vol1-sec52-2.pdf https://www.gpo.gov/fdsys/pkg/CFR-2007-title42-vol1/pdf/CFR-2007-title42-vol1-sec52-2.pdf https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html

For programmatic technical assistance, contact:

Kristen L. Hess Department of Health and Human Services Centers for Disease Control and Prevention 1600 Clifton Road NE; MS E-47 Atlanta, GA 30329-4027 Telephone: (404) 639-1555 Email: KHess1@cdc.gov

For financial, awards management, or budget assistance, contact:

Wayne Woods, Grants Management Specialist Department of Health and Human Services Centers for Disease Control and Prevention CDC Office of Financial Resources / Office of Grants Services (OFR/OGS) 2920 Brandywine Road; MS E-15 Atlanta, GA 30341 Telephone: (770) 488-2948 Email: WWoods@cdc.gov

For assistance with submission difficulties related to www.grants.gov, contact the Contact Center by phone at 1-800-518-4726 (24 hours daily/7days weekly, except on federal holidays).

For all other submission questions, contact:

Technical Information Management Section Department of Health and Human Services CDC Office of Financial Resources / Office of Grants Services 2920 Brandywine Road; MS E-14 Atlanta, GA 30341 Telephone: (770) 488-2700 Email: ogstims@cdc.gov

CDC Telecommunications for persons with hearing loss is available at: TTY 1-888-232-6348

G. Executive Summary:

1. Summary Paragraph:

For the last 30 years, the Human Immunodeficiency Virus (HIV) has affected millions throughout the United States. CDC monitors trends in HIV infection and evidence of HIV medical care and viral suppression through the National HIV Surveillance System (NHSS). Due to migration, people living with diagnosed HIV can be reported to CDC by multiple states. The purpose of this NOFO is to support a more efficient method for HIV surveillance jurisdictions to identify potential interstate duplicates. The recipient will develop and provide a secure, encrypted, on-going privacy data-sharing tool capable of identifying potential duplicates across jurisdictions, implement necessary data security, confidentiality and privacy protections according to CDC standards, obtain participation agreements with 59 state and local health department HIV surveillance programs that will allow on demand submission and matching of person-level HIV surveillance data, and report back to jurisdictions on matching levels in formats that are importable into local/state HIV data systems.

a. Eligible Applicants: Open Competition

b. NOFO Type: Grant

c. Approximate Number of Awards: 1

d. Total Period of Performance Funding: $2,000,000

e. Average One Year Award Amount: $400,000

f. Total Period of Performance Length: 5

g. Estimated Award Date: 01/15/2018

h. Cost Sharing and / or Matching Requirements: N Cost sharing or matching funds are not required for this program. Although no statutory matching requirement exists for this NOFO, leveraging other resources and related efforts to promote sustainability is strongly encouraged.

Part II. Full Text A. Funding Opportunity Description

Part II. Full Text

1. Background

a. Overview For the last 30 years, the Human Immunodeficiency Virus (HIV) has affected millions throughout the United States. According to CDC, by the end of 2014 there were 955,081 people living with diagnosed HIV in the U.S. with approximately 40,000 infections diagnosed each year. (1) The CDC National HIV Surveillance System (NHSS) is the primary source for monitoring trends in

HIV infection diagnosis rates and evidence of HIV medical care and viral suppression. The 50 states, the District of Columbia, and 6 U.S. dependent areas (American Samoa, Guam, the Northern Mariana Islands, Puerto Rico, the Republic of Palau, and the U.S. Virgin Islands) have regulatory authority and confidentiality protections to collect and maintain information on persons with diagnosed HIV infection.

CDC funds and assists state and local health departments to collect the surveillance data, which use the Enhanced HIV/AIDS Reporting System (eHARS) to submit de-identified surveillance data to CDC. Due to migration, people living with diagnosed HIV (PLWDH) can be reported by multiple states. To get accurate information on PLWDH, deduplication of the data must be conducted. A routine effort known as Routine Interstate Duplicate Review (RIDR) involves a jurisdiction-to-jurisdiction deduplication process based on a list of cases provided by CDC. Each jurisdiction conducts case-by-case reviews by phone with other jurisdictions and information for confirmed duplicates is entered in the case records and duplicate pairs are identified for merging during NHSS’s national data processing. Depending on the number of potential duplicates, the RIDR process can take hundreds of hours and months to complete.

In recent years, the timely resolution of duplicates has become more important because of the increased emphasis on using HIV surveillance data to link/re-engage people in HIV medical care.

Delays in identification and resolution of duplicates can lead to wasted efforts in implementing and completing activities focused on linking and/or retaining people in care if a person with diagnosed HIV in one jurisdiction has without informing relocated to another jurisdiction. Given the urgent need for high quality and timely HIV case surveillance data, CDC is seeking to implement more efficient electronic tools for data sharing to reduce the burden of the RIDR process.

In 2015, a pilot project was conducted with health departments in three jurisdictions to develop a proof of concept for a secure, automated tool for matching HIV surveillance records. This tool used HIV surveillance data and a person-matching algorithm to determine the level of matching for a case-pair, comprised of a record from one jurisdiction paired with a record from another jurisdiction. The algorithm determined whether each case-pair was an ‘exact’, ‘high’, ‘medium’, or ‘low’ match. Based on the matching report, the pairs identified as ‘exact’ and ‘high’ matches could be resolved quickly. For the three jurisdictions, the algorithm identified over 80% of the potential duplicates in less than 30 minutes. (2) In addition, the tool was able to identify duplicates across jurisdictions that had not been previously identified through the RIDR process.

The goal of NOFO 18-1805 is to improve the quality of HIV surveillance data by supporting access to a secure, ongoing, on demand, automated privacy data-sharing tool developed and implemented by the recipient that identifies duplicate HIV cases across state/local HIV surveillance jurisdictions.

b. Statutory Authorities This program is authorized under Sections 317(k) (2) and 318(c) of the Public Health Service Act [42 U.S.C. Sections 247b (k) (2) and 247c(c)], as amended.

c. Healthy People 2020

Section 301 of the Public Health Service Act (42 USC § 241), This NOFO addresses the “Healthy People 2020” focus on HIV: http://www.healthypeople.gov /2020/topicsobjectives2020/overview.aspx?topicid=22

d. Other National Public Health Priorities and Strategies The national prevention goals: https://www.aids.gov/federal-resources/national-hiv-aids-strategy /nhas-update.pdf CDC National Center for HIV, Viral Hepatitis, STD, and TB Prevention (NCHHSTP) Strategic Plan: http://www.cdc.gov/nchhstp/docs/NCHHSTP-Strategic-Plan-through-2020-508.pdf CDC Division of HIV/AIDS Prevention: (DHAP) Strategic Plan: http://www.cdc.gov/nchhstp /docs/NCHHSTP-Strategic-Plan-through-2020-508.pdf HIV Care Continuum Initiative: https://www.aids.gov/federal-resources/policies/care-continuum/ CDC Winnable Battles: http://www.cdc.gov/WinnableBattles/index.html

e. Relevant Work This NOFO builds upon previous and current HIV surveillance and prevention programs for health departments and community-based partners including:

CDC-RFA-PS12-1210: The Care and Prevention in the United States (CAPUS) Demonstration Project: https://www.cdc.gov/hiv/research/demonstration/capus/index.html CDC-RFA-PS13-1302: National HIV Surveillance System (NHSS): https://www.cdc.gov/hiv /funding/announcements/ps13-1302/index.html CDC-RFA-PS14-1403: Capacity Building Assistance (CBA) for High-Impact HIV Prevention:

https://www.cdc.gov/hiv/funding/announcements/ps14-1403/index.html CDC-RFA-PS14-1410: Partnerships for Care (P4C): Health Departments and Health Centers Collaborating to Improve HIV Health Outcomes: https://www.cdc.gov/hiv/research/demonstrat ion/p4c/index.html CDC-RFA-PS15-1506: Health Department Demonstration Projects to Reduce HIV Infections and Improve Engagement in HIV Medical Care among Men Who Have Sex with Men (MSM) and Transgender Persons: http://www.cdc.gov/hiv/funding/announcements/ps15-1506/

2. CDC Project Description

a. Approach

Bold indicates period of performance outcome.

CDC-RFA-18-1805 Logic Model: Privacy Data Sharing Tool to Support De-duplication of Cases in the National HIV Surveillance System http://www.healthypeople.gov/2020/topicsobjectives2020/overview.aspx?topicid=22 http://www.healthypeople.gov/2020/topicsobjectives2020/overview.aspx?topicid=22 https://www.aids.gov/federal-resources/national-hiv-aids-strategy/nhas-update.pdf https://www.aids.gov/federal-resources/national-hiv-aids-strategy/nhas-update.pdf http://www.cdc.gov/nchhstp/docs/NCHHSTP-Strategic-Plan-through-2020-508.pdf http://www.cdc.gov/nchhstp/docs/NCHHSTP-Strategic-Plan-through-2020-508.pdf http://www.cdc.gov/nchhstp/docs/NCHHSTP-Strategic-Plan-through-2020-508.pdf https://www.aids.gov/federal-resources/policies/care-continuum/ http://www.cdc.gov/WinnableBattles/index.html https://www.cdc.gov/hiv/research/demonstration/capus/index.html https://www.cdc.gov/hiv/funding/announcements/ps13-1302/index.html https://www.cdc.gov/hiv/funding/announcements/ps13-1302/index.html https://www.cdc.gov/hiv/funding/announcements/ps14-1403/index.html https://www.cdc.gov/hiv/research/demonstration/p4c/index.html https://www.cdc.gov/hiv/research/demonstration/p4c/index.html http://www.cdc.gov/hiv/funding/announcements/ps15-1506/

Strategies and Activities Short-term outcomes

Intermediate outcomes

Long-term outcomes

Strategy 1: Comply with policies related to security and confidentiality

· Ensure data security, confidentiality and privacy according to CDC standards.

· Enhanced system security.

Strategy 2: Support deduplication of cases

· Negotiate with local, state, and territorial health departments for participation in a secure data sharing system and obtain data sharing agreements.

· Provide a data sharing system to allow for secure, on demand, ongoing, encrypted submission and matching of person-level HIV case surveillance data.

· Provide a matching algorithm based on HIV surveillance dataset variables to determine the levels of matching exactness.

· Enhanced HIV case information sharing among participants.

· Improved security of data sharing between HIV surveillance jurisdictions.

Strategy 3: Facilitate processing of results of duplicate review

· Provide feedback reports to participating jurisdictions on the matching levels of all case pairs for the jurisdiction.

· Develop and deliver tab-delimited files that contain required case information for pairs

· Improved resolution of duplicate reports.

· Improved data quality and completeness.

· Reduced cost to perform interjurisdictiona l duplicate review.

· Improved accuracy of local and national case counts

· Increased availability of high quality HIV surveillance data to more accurately measure HIV prevention and care indicators

· Enhanced use of surveillance data to support individuals through the HIV care continuum including data to care activities determined to be “exact” matches

Strategy 4: Monitor and evaluation

· Provide reports regarding jurisdiction participation and matching process and outcomes.

· Increased knowledge of the duplicate review process.

· Improved efficiency of matching process.

· Improved efficiency of duplicate review process.

i. Purpose The purpose of this NOFO is to support a more efficient method for jurisdictions to de-duplicate cases reported to the National HIV Surveillance System. The recipient will develop and provide access to a privacy data-sharing tool that identifies potential duplicates across 59 jurisdictions;

allow for secure, encrypted submission and matching of person-level HIV surveillance data;

ensure data security, confidentiality, and privacy per CDC standards; recruit and negotiate with the 59 jurisdictions to participate; and provide them a report on matching levels.

ii. Outcomes The recipient is expected to demonstrate measurable progress toward achieving the bolded short-term and intermediate outcomes depicted in the logic model. Indicators that quantify these outcomes are described in the section entitled CDC Evaluation and Performance Measurement Strategy.

Expected short-term outcomes:

Enhanced HIV case information sharing among participants.

Improved security of data sharing between HIV surveillance jurisdictions.

Improved resolution of duplicate reports.

Increased knowledge of the duplicate review process.

Improved efficiency of matching process.

Expected intermediate outcomes:

Improved data quality and completeness.

iii. Strategies and Activities The recipient is required to implement all of the strategies and activities list below.

Comply with policies related to security and confidentiality.

o The recipient shall have the ability to host and maintain a system for data management, use, and reporting to support activities funded by the federal government.

o Implement data security, confidentiality and privacy according to applicable standards (including those established by CDC) for any data systems created for the project.

o CDC will not have access to any data being processed within the scope of this grant to identify duplicates for the participating jurisdictions.

o Jurisdictions own the data processed within the scope of this grant, and the recipient acts on behalf of the participating jurisdictions when processing their data to identify duplicates for them and is responsible for protection of the information while in the recipient's possession.

o The recipient will conduct all aspects of this work through their own institution(s) and not at a CDC/HHS facility.

o The recipient will not have access to any CDC/HHS data system or receive any data from CDC/HHS, nor will it provide any data to CDC/HHS other than project summaries as specified. CDC will not have the ability to access any of the participating jurisdiction’s data while it is in the possession of the recipient.

o Data cannot be used for purposes beyond the scope of the grant.

Output: Provide a document describing the protocol to ensure security and confidentiality of data and data ownership.

Support deduplication of cases.

o Recruit local, state, and territorial health departments for participation in a secure data sharing system and negotiate conditions.

Output: Provide status reports during monthly calls with CDC on the status of negotiations with all health departments.

o Collaborate with local, state, and territorial health departments to develop a system that fits the needs of the participating jurisdictions. Facilitate establishing a coordinating board made up of a subset of participating jurisdictions to ensure efficient communication.

Output: Provide status reports during monthly calls with CDC on the status of coordinating board.

o Establish data sharing agreements in accordance with the National Center for HIV/AIDS, Viral Hepatitis, STD, and TB Prevention’s (NCHHSTP) Data Security and Confidentiality Guidelines between the recipient and the participating health departments.

https://www.cdc.gov/nchhstp/programintegration/docs/PCSIDataSecurityGuidelin es.pdf

Output: Provide copies of data sharing agreements with health departments that have agreed to participate and documentation for those not interested or able to participate.

o Provide a data sharing system to allow for secure, on demand, ongoing, encrypted submission and matching of person-level HIV surveillance data.

Output: Provide routine progress updates on core activities and deliverables in the planning and management of IT application development and implementation for the secure data sharing tool and matching algorithm.

o Provide a matching algorithm based on HIV surveillance dataset variables to determine the levels of matching exactness.

Output: Provide CDC with a detailed description of the matching algorithm.

Output: Provide evidence of accuracy of matching algorithm, including percentage of ‘exact’ and ‘very high’ matches that are true duplicates.

o Provide application training and materials specific to the appropriate end users and application support organizations.

Output: Provide CDC the training schedule, participant list, and training materials for any trainings provided to end users and application support organizations.

o Follow best practices as outlined in CDC's Enterprise Performance Lifecycle (EPLC) methodology to establish the core activities and deliverables for planning, managing, and documenting IT application development and implementation.

Output: Provide a development and implementation plan for the secure data sharing tool and matching algorithm that includes activities, milestones, documentation, deliverables, and performance measures.

Facilitate processing of results of duplicate review.

o Provide feedback reports to participating jurisdictions on the matching levels of all case pairs for the jurisdiction.

o Develop and deliver tab-delimited files that contain required case information for pairs determined to be “exact” matches. The file must align with CDC’s eHARS importable RIDR file (in format and included variables).

Output: Provide CDC an example of the matching feedback report and the tab-delimited file that will be provided to jurisdictions.

Monitor and evaluation.

o Provide reports regarding jurisdiction participation and matching process and outcomes.

o Report progress to CDC during monthly calls on jurisdiction participation, implementation of the secure data sharing tool, and matching process and outcomes.

o Produce an annual summary report that includes feedback from staff from each of the participating jurisdictions on the lessons learned and recommendations that resulted from the processes and outcomes of this NOFO.

Output: Produce an annual summary report that includes feedback from staff from each of the participating jurisdictions on the lessons learned and recommendations that resulted from the processes and outcomes of this

NOFO.

1. Collaborations

a. With other CDC programs and CDC-funded organizations:

The recipient shall establish, build, and/or maintain working partnerships with CDC-funded health departments to ensure communication, collaboration, and coordination for delivery of more accurate and timely data to aid in linkage to and re-engagement in HIV medical care activities at the state/local level and to support monitoring of HIV indicators at the national level.

For implementation activities, the recipient will collaborate with state/local health departments and/or the bona fide agents. Data sharing agreements shall be established with each health department. As needed, a memorandum of agreement/memorandum of understanding (MOAs/MOUs) shall be established with each health department.

b. With organizations not funded by CDC:

N/A

2. Target Populations The recipient shall work with state/local and territorial health departments to improve the quality of HIV surveillance data for all persons with diagnosed HIV infection. This includes sub-groups based on local or state Integrated HIV Prevention and Care Plans, Needs Assessments, and/or Epidemiological Profiles and persons affected by disparities by race, ethnicity, gender identity, sexual orientation, geography, socioeconomic status, disability status, primary language, health literacy, and other relevant dimensions such as tribal communities.

a. Health Disparities The NOFO supports efforts to use HIV surveillance data to improve the health of populations disproportionately affected by HIV. Accurate data will maximize the health impact of public health services to reduce disease prevalence and promote health equity consistent with national goals. Health disparities in HIV are inextricably linked to a complex blend of social determinants that influence populations most severely affected by this disease. Health equity is a desirable goal that entails special efforts to improve the health of those who have experienced social or economic disadvantage.

Details of the health equity strategy and approach are outlined in the NCHHSTP Social Determinants of Health White Paper (http://www.cdc.gov/socialdeterminants/docs/SDH-White- Paper-2010.pdf).

iv. Funding Strategy Funding based on the provision of secure data matching services to 59 surveillance jurisdictions.

A ceiling is set for $400,000 per year for five years.

b. Evaluation and Performance Measurement

i. CDC Evaluation and Performance Measurement Strategy The strategy for monitoring and evaluating the recipient's performance will include several activities, spanning both process monitoring and evaluation and monitoring of outcomes, and will be consistent with the logic model and approach previously presented. Guidance assessing performance targets will be provided by CDC.

Outputs

Provide a document describing the protocol to ensure security and confidentiality of data and data ownership.

http://www.cdc.gov/socialdeterminants/docs/SDH-White-Paper-2010.pdf http://www.cdc.gov/socialdeterminants/docs/SDH-White-Paper-2010.pdf

Provide status reports during monthly calls with CDC on the status of negotiations with all health departments.

Provide copies of data sharing agreements with health departments that have agreed to participate and documentation for those not interested or able to participate.

Provide a development and implementation plan for the secure data sharing tool and matching algorithm that includes activities, milestones, documentation, deliverables, and performance measures.

Provide routine progress updates on core activities and deliverables in the planning and management of IT application development and implementation for the secure data sharing tool and matching algorithm.

Provide CDC with a detailed description of the matching algorithm.

Provide evidence of accuracy of matching algorithm, including percentage of ‘exact’ and

‘very high’ matches that are true duplicates.

Provide CDC an example of the matching feedback report and the tab-delimited file that will be provided to jurisdictions.

Produce an annual summary report that includes feedback from staff from each of the participating jurisdictions on the lessons learned and recommendations that resulted from the processes and outcomes of this NOFO.

Outcomes

Enhanced HIV case information sharing among participants.

Indicator: Frequency of matching; this should be at least 4 times per year Improved security of data sharing between HIV surveillance jurisdictions.

o Indicator: Number of security breaches Improved resolution of duplicate reports.

o Indicator: All participating jurisdictions are able to import the tab-delimited file into eHARS without errors.

o Indicator: All jurisdictions are satisfied with the output of the matching process (matching report and tab-delimited file).

Improved data quality and completeness.

o Indicator: Reduced number of records in the RIDR report generated by CDC.

Increased knowledge of the duplicate review process.

o Indicator: Develop standard operating procedures.

Improved efficiency of the matching process.

Indicator: The length of time it takes for jurisdictions to resolve duplicate pairs will be reduced.

ii. Applicant Evaluation and Performance Measurement Plan Applicants must provide an evaluation and performance measurement plan that demonstrates how the recipient will fulfill the requirements described in the CDC Evaluation and Performance Measurement and Project Description sections of this NOFO. At a minimum, the plan must describe:

How applicant will collect the performance measures, respond to the evaluation questions, and use evaluation findings for continuous program quality improvement.

How key program partners will participate in the evaluation and performance measurement planning processes.

Available data sources, feasibility of collecting appropriate evaluation and performance data, and other relevant data information (e.g., performance measures proposed by the applicant)

Plans for updating the Data Management Plan (DMP), if applicable, for accuracy throughout the lifecycle of the project. The DMP should provide a description of the data that will be produced using these NOFO funds; access to data; data standards ensuring released data have documentation describing methods of collection, what the data represent, and data limitations; and archival and long-term data preservation plans. For more information about CDC’s policy on the DMP, see https://www.cdc.gov/grants/additionalrequirements/ar-25.html.

Where the applicant chooses to, or is expected to, take on specific evaluation studies, they should be directed to:

Describe the type of evaluations (i.e., process, outcome, or both).

Describe key evaluation questions to be addressed by these evaluations.

Describe other information (e.g., measures, data sources).

Recipients will be required to submit a more detailed Evaluation and Performance Measurement plan, including a DMP, within the first 6 months of award, as described in the Reporting Section of this NOFO.

c. Organizational Capacity of Recipients to Implement the Approach All applicants must demonstrate their existing capacity to successfully execute all proposed strategies and activities to meet the NOFO requirements. Applicants must have demonstrable expertise, experience, and/or capacity to develop, rapidly implement, and evaluate the required strategies and activities. Working with HIV surveillance in state, local, and/or territorial health departments is integral to implementation. Applicants should describe their mission;

organizational structure; overall organizational budget and funding sources; staff size and expertise; the nature and scope of their work and capabilities; long-term sustainability plan; and other information that would help CDC assess the organization’s infrastructure and capacity to implement the proposed activity. Applicants should address the physical infrastructure as it relates to equipment, electronic information and data systems, ensuring data security and confidentiality, and communication systems to implement the award. The recipient must be able to take full responsibility of the security and confidentiality of the data while it is in their possession. The recipient will conduct all aspects of this work through their own institution(s) and not at a CDC/HHS facility.

Applicants shall provide a description of three (3) projects completed within the past three years that clearly demonstrate the experience in performing projects of similar scope, size, and complexity. This should include the customer name and contract title and a brief narrative https://www.cdc.gov/grants/additionalrequirements/ar-25.html description of the work performed with a discussion of problems encountered, corrective actions, and significant accomplishments.

Workforce Capacity: Applicants must provide details on their workforce capacity, competence, expertise, and experience as they relate to all specific program strategies and activities (e.g., programming languages, applications, and managing operating systems). Applicants must have a strategy to ensure that the development, implementation and delivery of a secure data sharing system meets the needs of the jurisdictions.

Staffing: Applicants must provide evidence of adequate program management/staffing plans, technical expertise, performance measurement and evaluation, financial reporting, management of travel requirements, and workforce development and training. Applicants should identify key staff including program management with expertise in disease surveillance systems, programming languages, applications, operating systems and hardware (Principal Investigator or Co-Principal Investigator) and must have a plan to ensure that program staff has adequate skills and relevant experience and capacity to implement the activities and achieve the project outcomes, including the evaluation plan. The staffing plan and project management structure should be sufficient to achieve the project outcomes (e.g., staff should have technical expertise;

data management and data analysis capacity; and a plan for management accessing capacity building assistance to support workforce development), inclusive of subcontractors and consultants if applicable, throughout the duration of the five-year project. Staff must have the breadth of subject matter expertise and experience required to conduct all proposed work. When feasible, applicants must hire direct service staff who have at least 12 months minimum experience working in related disease surveillance. Applicants should describe how they will assess staff competencies and develop a plan to address gaps through organizational and individual training and development opportunities. Additionally, a curriculum vitae or resume must be submitted for each existing key personnel who will be affiliated with this program.

Applicants are also required to provide an agency-wide organizational chart and an organizational chart for the proposed program.

d. Work Plan Applicants are required to provide a work plan that provides both a high-level overview of the entire five-year project period and a detailed description of the first year of the award. The work plan should incorporate all NOFO-related program strategies and activities. Applicants should propose specific, measurable, achievable, realistic, and time-based (SMART) process and/or outcome objectives for each activity aligned with the related NOFO performance objectives. Also included should be the training, capacity building, and technical assistance (TA) needs to support the implementation of the proposed program. Included in the work plan should be a concise description on how the recipient plans to implement and monitor each program activity.

Note: Post-award, proposed work plan activities may be adjusted in collaboration with CDC to better address the overarching goals of the project.

The applicant shall address the following outline in their work plan:

1. Five-Year Overview of Project (include narrative)

Intended outcomes for the entire five-year project period

2. Year 1 Detailed Work Plan

Program strategies and activities Outcomes aligned with program strategies and activities SMART objectives aligned with performance targets (including quantitative baselines and targets, based on the proposed program, that lead to an increase, decrease, or maintenance over time)

Activities aligned with program objectives Timeline for implementation (including development and implementation of software and data transmission system, staffing of the proposed program, and training, etc.)

Below is a sample work plan format to show the alignment with the logic model and narrative.

The table would be completed for each project period outcome. If a particular activity leads to multiple outcomes, it should be described under each outcome measure:

Project Period Outcome: [from Outcomes section and/or logic model]

Outcome Measure: [from Evaluation and Performance Measurement section]

Strategies and Activities Process Measures [from Evaluation and Performance Measurement section]

Responsible/ Position /Party

Completion Date

e. CDC Monitoring and Accountability Approach Monitoring activities include routine and ongoing communication between CDC and recipients, site visits, and recipient reporting (including work plans, performance, and financial reporting).

Consistent with applicable grants regulations and policies, CDC expects the following to be included in post-award monitoring for grants and cooperative agreements:

Tracking recipient progress in achieving the desired outcomes.

Ensuring the adequacy of recipient systems that underlie and generate data reports.

Creating an environment that fosters integrity in program performance and results.

Monitoring may also include the following activities deemed necessary to monitor the award:

Ensuring that work plans are feasible based on the budget and consistent with the intent of the award.

Ensuring that recipients are performing at a sufficient level to achieve outcomes within stated timeframes.

Working with recipients on adjusting the work plan based on achievement of outcomes, evaluation results and changing budgets.

Monitoring performance measures (both programmatic and financial) to assure satisfactory performance levels.

Monitoring and reporting activities that assist grants management staff (e.g., grants management officers and specialists, and project officers) in the identification, notification, and management of high-risk recipients.

After review of the first annual performance report, if the recipient is not conducting required recipient activities or not meeting process or outcome standards, CDC will provide or facilitate technical/capacity building assistance for program improvement. If the grantee is performing at a less than sufficient level to achieve program objectives within stated time frames, they will be placed on a time-phased Programmatic Improvement Plan (PIP) developed by CDC in collaboration with the grantee. The PIP is a comprehensive tool used to assist the grantee to improve program performance through identifying factors contributing to less than sufficient performance and developing specific action steps to address areas in need of improvement. If placed on a PIP, the grantee will have an opportunity to document a plan of action to improve the performance of program activities. In subsequent budget periods, funding may be affected based on performance.

These activities may include monitoring and reporting activities as outlined in Chapter 2.01.101 of the HHS GPAM that assists grants management staff (e.g., grants management officers [GMOs] and specialists [GMS], and project officers) in the identification, notification, and management of high-risk recipients.

B. Award Information

1. Funding Instrument Type: Grant

2. Award Mechanism: U62

3. Fiscal Year: 2018

4. Approximate Total Fiscal Year Funding: $400,000

5. Approximate Period of Performance Funding: $2,000,000

This amount is subject to the availability of funds.

Estimated Total Funding: $2,000,000

6. Approximate Period of Performance Length: 5 year(s)

7. Expected Number of Awards: 1

8. Approximate Average Award: $400,000 Per Budget Period

9. Award Ceiling: $400,000 Per Budget Period

This amount is subject to the availability of funds.

10. Award Floor: $0.01 Per Budget Period There is no award floor.

11. Estimated Award Date: 01/15/2018

12. Budget Period Length: 12 month(s)

Throughout the project period, CDC will continue the award based on the availability of funds, the evidence of satisfactory progress by the recipient (as documented in required reports), and the determination that continued funding is in the best interest of the federal government. The total number of years for which federal support has been approved (project period) will be shown in the “Notice of Award.” This information does not constitute a commitment by the federal government to fund the entire period. The total period of performance comprises the initial competitive segment and any subsequent non-competitive continuation award(s).

13. Direct Assistance Direct Assistance (DA) is not available through this FOA.

C. Eligibility Information

1. Eligible Applicants Eligibility Category: Unrestricted (i.e., open to any type of entity above), subject to any clarification in text field entitled "Additional Information on Eligibility"

Additional Eligibility Category:

2. Additional Information on Eligibility

The annual award ceiling for this NOFO is $400,000; any application requesting an award higher than this annual amount will be considered by CDC as non-responsive and will not receive further review.

A Letter of Intent (LOI) is requested (i.e. recommended but not required) to allow CDC program staff to estimate the number of and plan for the review of submitted applications. A completed LOI may be sent via email by October 30, 2017 to Ms. Damarys Cordova dcordova@cdc.gov Applicants shall have at least 5 years of documented experience in:

1. developing secure, data sharing tools and documentation for said tools;

2. understanding and applying methods to match records based on limited data (de-duplication methods);

3. interacting and cooperating with multiple agencies, following strict security protocols;

4. using secure data repositories to house highly confidential data; and,

5. using encryption software to ensure confidentiality in data transmissions and data storage.

3. Justification for Less than Maximum Competition N/A

4. Cost Sharing or Matching Cost Sharing / Matching Requirement: No Cost sharing or matching funds are not required for this program. Although no statutory matching requirement exists for this NOFO, leveraging other resources and related efforts to promote sustainability is strongly encouraged.

5. Maintenance of Effort Maintenance of Effort (MOE) is not required for this program.

D. Application and Submission Information

1. Required Registrations An organization must be registered at the three following locations before it can submit an application for funding at www.grants.gov.

a. Data Universal Numbering System:

All applicant organizations must obtain a Data Universal Numbering System (DUNS) number.

A DUNS number is a unique nine-digit identification number provided by Dun & Bradstreet (D&B). It will be used as the Universal Identifier when applying for federal awards or cooperative agreements.

The applicant organization may request a DUNS number by telephone at 1-866-705-5711 (toll free) or internet at http:// fedgov.dnb. com/ webform/ displayHomePage.do. The DUNS number will be provided at no charge.

If funds are awarded to an applicant organization that includes sub-recipients, those sub-recipients must provide their DUNS numbers before accepting any funds.

b. System for Award Management (SAM):

The SAM is the primary registrant database for the federal government and the repository into which an entity must submit information required to conduct business as a recipient. All applicant organizations must register with SAM, and will be assigned a SAM number. All information relevant to the SAM number must be current at all times during which the applicant has an application under consideration for funding by CDC. If an award is made, the SAM information must be maintained until a final financial report is submitted or the final payment is received, whichever is later. The SAM registration process can require 10 or more business days, and registration must be renewed annually. Additional information about registration procedures may be found at www.SAM.gov.

https://www.grants.gov/ http://fedgov.dnb.com/webform/displayHomePage.do https://www.sam.gov/portal/public/SAM/

c. Grants.gov:

The first step in submitting an application online is registering your organization at www.grants.gov, the official HHS E-grant Web site. Registration information is located at the “Get Registered” option at www.grants.gov.

All applicant organizations must register at www.grants.gov. The one-time registration process usually takes not more than five days to complete. Applicants should start the registration process as early as possible.

Step System Requirements Duration Follow Up 1 Data

Universal Number System

(DUNS)

1. Click on http:// fedgov.dnb.com/ webform

2. Select Begin DUNS search/request process

3. Select your country or territory and follow the instructions to obtain your DUNS 9-digit #

4. Request appropriate staff member(s) to obtain DUNS number, verify & update information under DUNS number

1-2 Business Days

To confirm that you have been issued a new DUNS number check online at (http:// fedgov.dnb.com/ webform) or call 1-866-705-5711

2 System for Award Management

(SAM)

formerly Central Contractor Registration

(CCR)

1. Retrieve organizations DUNS number

2. Go to www.sam.gov and designate an E-Biz POC (note CCR username will not work in SAM and you will need to have an active SAM account before you can register on grants.gov)

3-5 Business Days but up to 2 weeks and must be renewed once a year

For SAM Customer Service Contact https://fsd.gov/ fsd-gov/ home.do Calls:

866-606-8220

3 Grants.gov 1. Set up an individual account in Grants.gov using organization new DUNS number to become an authorized organization representative (AOR)

2. Once the account is set up the E-BIZ POC will be notified via email

3. Log into grants.gov using the password the E- BIZ POC received and

Same day but can take 8 weeks to be fully registered and approved in the system (note, applicants

MUST

obtain a

DUNS

Register early!

Log into grants.gov and check AOR status until it shows you have been approved https://grants.gov/ https://www.grants.gov/ https://www.grants.gov/ https://www.grants.gov/ http://fedgov.dnb.com/webform http://fedgov.dnb.com/webform http://fedgov.dnb.com/webform http://fedgov.dnb.com/webform http://fedgov.dnb.com/webform http://www.sam.gov https://fsd.gov/fsd-gov/home.do https://fsd.gov/fsd-gov/home.do https://fsd.gov/fsd-gov/home.do create new password

4. This authorizes the AOR to submit applications on behalf of the organization number and

SAM

account before applying on grants.gov)

2. Request Application Package Applicants may access the application package at www.grants.gov.

3. Application Package Applicants must download the SF-424, Application for Federal Assistance, package associated with this notice of funding opportunity at www.grants.gov. If Internet access is not available, or if the online forms cannot be accessed, applicants may call the CDC OGS staff at 770-488- 2700 or e-mail OGS ogstims@cdc.gov for assistance. Persons with hearing loss may access CDC telecommunications at TTY 1-888-232-6348.

4. Submission Dates and Times If the application is not submitted by the deadline published in the NOFO, it will not be processed. Office of Grants Services (OGS) personnel will notify the applicant that their application did not meet the deadline. The applicant must receive pre-approval to submit a paper application (see Other Submission Requirements section for additional details). If the applicant is authorized to submit a paper application, it must be received by the deadline provided by

OGS.

a. Letter of Intent Deadline (must be emailed or postmarked by) Due Date for Letter of Intent: 10/30/2017

b. Application Deadline Due Date for Applications: 12/05/2017 , 11:59 p.m. U.S. Eastern Standard Time, at www.grants.gov. If Grants.gov is inoperable and cannot receive applications, and circumstances preclude advance notification of an extension, then applications must be submitted by the first business day on which grants.gov operations resume.

A Letter of Intent (LOI) is requested (i.e. recommended but not required) to allow CDC program staff to estimate the number of and plan for the review of submitted

Date for Information Conference Call

Tuesday, October 31, 2017 – 3:00-4:00pm Eastern via online meeting in Skype for Business or by calling (404) 553-8912 (Atlanta Dial-in Conference Region) or (855) 348-8390 (outside of https://www.grants.gov https://www.grants.gov mailto:ogstims@cdc.gov the Atlanta Dial-in Conference Region). When prompted after dialing, enter the Conference ID:

2751505#

Applicants may submit questions as follows:

For programmatic technical assistance, contact:

Kristen L. Hess Department of Health and Human Services Centers for Disease Control and Prevention 1600 Clifton Road NE; MS E-47 Atlanta, GA 30329-4027 Telephone: (404) 639-1555 Email: KHess1@cdc.gov

For financial, awards management, or budget assistance, contact:

Wayne Woods, Grants Management Specialist Department of Health and Human Services Centers for Disease Control and Prevention CDC Office of Financial Resources / Office of Grants Services (OFR/OGS) 2920 Brandywine Road; MS E-15 Atlanta, GA 30341 Telephone: (770) 488-2948 Email: WWoods@cdc.gov

For assistance with submission difficulties related to www.grants.gov, contact the Contact Center by phone at 1-800-518-4726 (24 hours daily/7days weekly, except on federal holidays).

For all other submission questions, contact:

Technical Information Management Section Department of Health and Human Services CDC Office of Financial Resources / Office of Grants Services 2920 Brandywine Road; MS E-14 Atlanta, GA 30341

Telephone: (770) 488-2700 Email: ogstims@cdc.gov

CDC Telecommunications for persons with hearing loss is available at: TTY 1-888-232-6348

5. CDC Assurances and Certifications All applicants are required to sign and submit “Assurances and Certifications” documents indicated at http://wwwn.cdc.gov/ grantassurances/ (S(mj444mxct51lnrv1hljjjmaa)) /Homepage.aspx.

Applicants may follow either of the following processes:

Complete the applicable assurances and certifications with each application submission, name the file “Assurances and Certifications” and upload it as a PDF file with at www.grants.gov

Complete the applicable assurances and certifications and submit them directly to CDC on an annual basis at http://wwwn.cdc.gov/ grantassurances/ (S(mj444mxct51lnrv1hljjjmaa))/ Homepage.aspx

Assurances and certifications submitted directly to CDC will be kept on file for one year and will apply to all applications submitted to CDC by the applicant within one year of the submission date.

Duplication of Efforts Applicants are responsible for reporting if this application will result in programmatic, budgetary, or commitment overlap with another application or award (i.e. grant, cooperative agreement, or contract) submitted to another funding source in the same fiscal year.

Programmatic overlap occurs when (1) substantially the same project is proposed in more than one application or is submitted to two or more funding sources for review and funding consideration or (2) a specific objective and the project design for accomplishing the objective are the same or closely related in two or more applications or awards, regardless of the funding source. Budgetary overlap occurs when duplicate or equivalent budgetary items (e.g., equipment, salaries) are requested in an application but already are provided by another source.

Commitment overlap occurs when an individual’s time commitment exceeds 100 percent, whether or not salary support is requested in the application. Overlap, whether programmatic, budgetary, or commitment of an individual’s effort greater than 100 percent, is not permitted.

Any overlap will be resolved by the CDC with the applicant and the PD/PI prior to award.

Report Submission: The applicant must upload the report in Grants.gov under “Other Attachment Forms.” The document should…