CDC-RFA-PS21-2107 (Amended) 3.25.2021.pdf

Centers for Disease Control and Prevention

NATIONAL CENTER FOR HIV, VIRAL HEPATITIS, STDS AND TB PREVENTION

Development of a COVID-19 Monitoring System for U.S. Correctional and Detention Facilities

CDC-RFA-PS21-2107

03/31/2021

Table of Contents 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 Applicants must go to the synopsis page of this announcement at www.grants.gov and click on the "Subscribe" button link to ensure they receive notifications of any changes to CDC-RFA- PS21-2107. 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:

Development of a COVID-19 Monitoring System for U.S. Correctional and Detention Facilities 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-PS21-2107

E. Assistance Listings (CFDA) Number:

93.283 F. Dates:

1. Due Date for Letter of Intent (LOI):

The LOI date will generate once the Synopsis is published if Days or a Date are entered.

2. Due Date for Applications:

https://www.grants.gov/ 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 https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html

03/31/2021 11:59 p.m. U.S. Eastern Standard Time, at www.grants.gov.

3. Due Date for Informational Conference Call:

N/A

G. Executive Summary:

1. Summary Paragraph This NOFO will fund a partner to engage a representative group of correctional and public health stakeholders nationwide to design a novel COVID-19 data system for correctional and detention facilities, and to implement it in one pilot state. The data system will improve data sharing among correctional and detention facilities during the COVID-19 pandemic to reduce transmission and will allow state and local health departments and CDC to access COVID-19 data in real time to support guidance development and technical assistance to reduce COVID-19 morbidity and mortality. Strategies include intensive stakeholder engagement, data system design and ongoing data quality assurance, pilot implementation in at least one state prison and two local jails in the same state, and a plan for scale-up after the pilot phase. By the end of the period of performance, a user-friendly, validated COVID-19 data system will be accessible by pilot correctional/detention facilities and by CDC and local and state health departments in pilot site jurisdictions; data will be hosted, maintained, and transferred in compliance with identified data security and confidentiality requirements. As a result, there will be increased COVID-19 data sharing between pilot correctional/detention facilities, and between these facilities and public health. The pilot will demonstrate the feasibility of the system and inform scale-up to additional sites and to include additional disease areas

a. Eligible Applicants:

Single

b. Funding Instrument Type:

CA (Cooperative Agreement)

c. Approximate Number of Awards

d. Total Period of Performance Funding:

$ 970,550

e. Average One Year Award Amount:

$ 970,550

f. Total Period of Performance Length:

g. Estimated Award Date:

April 30, 2021

h. Cost Sharing and / or Matching Requirements:

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

https://www.grants.gov/

Part II. Full Text A. Funding Opportunity Description

1. Background

a. Overview Persons experiencing incarceration are disproportionately affected by coronavirus disease 2019 (COVID-19). Correctional environments have demonstrated the potential for rapid spread of SARS-CoV-2 (the virus that causes COVID-19), high attack rates, and high mortality rates.

SARS-CoV-2 can be introduced into correctional/detention facilities through numerous routes, including staff who move between the facility and the community, as well as newly incarcerated/detained persons and those who are transferred between facilities. Inside the facility, SARS-CoV-2 transmission can often be rapid and widespread due to congregate living conditions and limited capacity for physical and social distancing. Transmission between facilities during transfers has been documented in numerous states, sometimes initiating outbreaks in facilities that previously had no cases. In addition to the risks to incarcerated/detained populations and staff working in these facilities, transmission within and among correctional and detention facilities poses a risk to the communities where the facilities are located. Although incarcerated/detained persons cannot move freely, the facilities where they are held are not closed systems; preventing and slowing SARS-CoV-2 transmission within and among correctional and detention facilities will also contribute to the prevention and slowing of community transmission.

There is currently no comprehensive data system allowing correctional and detention facilities under the jurisdiction of different federal, state, and local entities to share information related to SARS-CoV-2 in their populations in a direct and secure manner. This Cooperative Agreement will fund the development and pilot implementation of such a system, in order to facilitate communication a) between facilities regarding cross-jurisdictional COVID-19 prevention and b) with public health entities including state and local health departments and CDC.

In the future, this data system could be expanded to include other infectious and chronic diseases and behavioral health conditions within incarcerated populations. Such an expansion would improve public health reporting from correctional and detention facilities, reduce morbidity and mortality from these conditions within incarcerated populations, and facilitate coordination, collaboration, and technical assistance during future public health emergencies as well as routine operations.

b. Statutory Authorities Grant Authority: 42 USC 317(k)(2) Funding Authority: Coronavirus Aid, Relief, and Economic Security (CARES) Act, Pub. L. 116-136 (2020)

c. Healthy People 2030 Infectious Disease: https://health.gov/healthypeople/objectives-and-data/browse-objectives/infectious-disease Respiratory Disease: https://health.gov/healthypeople/objectives-and-data/browse-objectives/respiratory-disease Emergency Preparedness: https://health.gov/healthypeople/objectives-and-data/browse-objectives/emergency-preparedness https://health.gov/healthypeople/objectives-and-data/browse-objectives/infectious-disease https://health.gov/healthypeople/objectives-and-data/browse-objectives/infectious-disease https://health.gov/healthypeople/objectives-and-data/browse-objectives/respiratory-disease https://health.gov/healthypeople/objectives-and-data/browse-objectives/respiratory-disease https://health.gov/healthypeople/objectives-and-data/browse-objectives/emergency-preparedness https://health.gov/healthypeople/objectives-and-data/browse-objectives/emergency-preparedness

Vaccination: https://health.gov/healthypeople/objectives-and-data/browse-objectives/vaccination Health IT: https://health.gov/healthypeople/objectives-and-data/browse-objectives/health-it Public Health Infrastructure: https://health.gov/healthypeople/objectives-and-data/browse-objectives/public-health-infrastructure

d. Other National Public Health Priorities and Strategies

NA

e. Relevant Work This NOFO builds on the ongoing work of the Corrections Unit within the CDC COVID-19 emergency response. In addition, it supports the objectives of the NCHHSTP Corrections Work Group to develop programmatic and data-based partnerships to improve the health of persons who experience incarceration.

2. CDC Project Description

a. Approach Bold indicates period of performance outcome.

Strategies and Activities

Short-term Outcomes Intermediate Outcomes

Long-term Outcomes

Engage Stakeholders

Engage correcti onal and public health stakehol ders

Design data system

Design data system

Develop data manage ment plan

Test data system

Pilot data system

A representative group of corrections and public health stakeholders is invested in project success

User-friendly, validated data system is accessible by correctional/det ention facilities and by CDC and local and state health departments

Key correctional and public health stakeholders in pilot state are

Enhanced system capabilities, data quality, and data completeness

Increased data sharing between correctional/ detention facilities

Increased data sharing between correctional/det ention facilities and public health

Feasibility of system and justification for scale-up have

Improved communication and partnerships between correctional/det ention facilities and with public health

Improved use of COVID-19 data for public health action and policy related to correctional settings

Improved use of COVID-19 data to inform prevention practices within and between correctional/ detention facilities https://health.gov/healthypeople/objectives-and-data/browse-objectives/vaccination https://health.gov/healthypeople/objectives-and-data/browse-objectives/health-it https://health.gov/healthypeople/objectives-and-data/browse-objectives/public-health-infrastructure https://health.gov/healthypeople/objectives-and-data/browse-objectives/public-health-infrastructure

Implem ent in pilot state

Provide trainings

Implem ent data quality assessm ent plan

Report results

Plan for system scale-up invested in project success

Operational requirements and data security, confidentiality, and validation requirements are met by the data system been demonstrated

Improved

COVID-19

outcomes in incarcerated/det ained populations

Expansion of system’s geographic representation and content

Improved availability of data for other public health concerns affecting incarcerated/det ained people

i. Purpose This NOFO will fund a partner to engage a representative group of correctional and public health stakeholders nationwide to design a novel COVID-19 data system for correctional and detention facilities, and to implement it in one pilot state. The data system will improve data sharing among correctional and detention facilities during the COVID-19 pandemic to reduce transmission and will allow state and local health departments and CDC to access COVID-19 data in real time to support guidance development and technical assistance to reduce COVID-19 morbidity and mortality in these settings.

ii. Outcomes The following outcomes will be achieved by the end of the period of performance:

Short-term Outcomes

A representative group of corrections and public health stakeholders is invested in project success.

User-friendly, validated data system is accessible by correctional/detention facilities and by CDC and local and state health departments.

Key correctional and public health stakeholders in pilot state are invested in project success.

Operational requirements and data security, confidentiality, and validation requirements are met by the data system.

Intermediate Outcomes

Increased data sharing between correctional/detention facilities.

Increased data sharing between correctional/detention facilities and public health.

Feasibility of the system and justification for scale-up have been demonstrated.

iii. Strategies and Activities As depicted in the Logic Model, there are four main strategies for project success. The recipient will be expected to implement all strategies and activities.

Engage Stakeholders

Identify correctional and public health stakeholders to provide input in system content and design, implementation, and dissemination of results. (See list of key stakeholder groups in the “Collaborations” section of the NOFO.)

Host a series of stakeholder calls in collaboration with CDC technical partners to introduce the project and seek input on a) the operational context in which the system would operate in different types of facilities, b) regulatory requirements for data collection and sharing, and c) how the data would be used by end users.

Maintain contact with stakeholders and communicate results to continue engagement.

After presenting pilot results, request stakeholder input on eventual project scale-up, including identifying modifications that may be needed to address the needs of stakeholder groups and promoting scale-up with their colleagues to expand buy-in.

Design data system

Identify all potential data users (correctional, public health, academic, etc.)

Determine the technical specifications and system requirements to meet the operational and data needs identified by stakeholders, including data security and confidentiality standards maintained by the facilities providing data and entities that will ultimately use the data (including CDC). The system should be able to ingest data from each site’s a) electronic health record system (EHR), b) electronic operational/management data system, and c) internal or external laboratory data system.

It should also include a manual data entry interface for facilities without an EHR. The data system should also have the capacity to allow local, state, and federal public health partners (including CDC) to access real-time data according to each partner’s security and confidentiality requirements, in order to satisfy public health reporting requirements and to facilitate broader data-based partnerships.

Determine data system content. Data elements represented in the system should include but may not necessarily be limited to the following:

SARS-CoV-2 testing and results vaccination (COVID-19 and influenza) offer and uptake (including brand, number of doses, and dates administered) contact tracing isolation and quarantine disposition (for incarcerated/detained persons) exclusion from work (for staff) transfer and release disposition COVID-19-related hospitalization COVID-19-related death

Long-term health impacts of COVID-19

The data system should be designed in a manner that can accommodate data from additional, non-COVID-related disease areas in the future (e.g., infectious diseases such as HIV/AIDS, viral hepatitis, STD, TB, influenza; chronic diseases; drug use disorders and treatment; mental health conditions).

Research existing and de-novo options to build the data system. Choose and justify the best option based on its ability to meet identified system requirements and to interface with public health data systems. Involve CDC technical partners in this process.

Finalize the Data Management Plan, building off the draft plan included in the application.

Include measures in place to meet confidentiality and ethical standards identified from stakeholder input (including CDC’s). This plan should include physical factors (such as the location and protection of data servers) and technological factors related to confidentiality, and a data stewardship plan detailing data governance and access levels.

Include a Data Quality Assessment Plan, a methodology detailing how data quality will be monitored. The plan should include specific data elements chosen as quality indicators and a protocol for how those indicators will be monitored over time (including cross-checking a sample of records for accuracy and completeness at the facility level, and checking logic connecting different data elements at the system level). This plan should include a methodology to verify data quality, as well as approaches to improve data quality when challenges are identified, including designating responsible parties at each site and within the team responsible for system development and maintenance. It should also include specified frequency for quality checks, and specified frequency of reporting quality check results to CDC. A phased approach for implementing a Data Quality Assessment Plan is recommended to prioritize data quality activities and scale them up over time.

Develop and test the data system. Report the results of system testing to CDC, and consult with CDC surveillance and public health informatics subject matter experts.

Develop technical documentation and user guides as resources for sites to use during implementation.

Implement in pilot state

Identify one state to pilot the data system, and provide criteria that were used to choose the state. Identify and engage state-specific stakeholders during the initial stakeholder engagement work, and intensify engagement during the pilot implementation phase to ensure continued buy-in and maximize data completeness and quality. (See list of key stakeholder groups in the “Collaborations” section of the NOFO.)

Implement the data system in the state’s prison system and at least 2 local jails in the state. Work with each site to develop site-specific instances of the data system, and work with CDC and state and local health departments corresponding to pilot site locations to develop the system’s public health-facing interface.

Provide trainings for pilot sites and public health partners on how to use the system to collect, view, and share data.

Implement the Data Quality Assessment Plan with pilot data, and report results of the quality assessment to CDC. Discuss any challenges to data quality with CDC technical partners; identify and implement solutions.

Report pilot results (including data quality assessment) a) to CDC, pilot site stakeholders, and larger stakeholder groups and b) to the wider corrections and public health fields through a scientific journal article (in collaboration with CDC, pilot sites, and state and local health departments in the pilot state).

Plan for scale-up

Develop a plan for scale-up of the data system, including plans for onboarding additional sites, ensuring financial sustainability, planning for ongoing technical management and stewardship of the system, and expanding the Data Quality Assessment Plan. Update technical documentation and user guides for use by additional sites onboarded during scale-up. Include a plan for how additional disease areas can be incorporated during scale-up (e.g., infectious diseases such as HIV/AIDS, viral hepatitis, STD, TB, influenza; chronic diseases; drug use disorders and treatment; mental health conditions).

This NOFO may fund health information systems infrastructure, including workforce and public health laboratories, to support the specific strategies, activities, and outcomes described in this NOFO. Any proposed health information system infrastructure activities should be reflected in the detailed budget submitted by grant applicants.

1. Collaborations

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

The recipient will be required to maintain regular contact with CDC technical partners during development and implementation of the data system to ensure that a) the system meets the CDC Office of Science requirements for data security and confidentiality, b) CDC has the opportunity to provide technical input into its content and public health reporting capabilities, and c) CDC has the opportunity to contribute to and review the Data Quality Assessment Plan, including selection of quality indicators and review of quality assessment reporting forms.

Because this NOFO is in furtherance of the COVID-19 response, data collected in the data system must be shared with CDC and must be interoperable with CDC systems. The recipient will work with CDC subject matter experts throughout the course of the period of performance to ensure that this requirement is met.

b. With organizations not funded by CDC:

The corrections “universe” includes a wide variety of local, state, federal, and non-governmental entities that have unique perspectives, operational requirements, and data standards. The recipient will be required to engage with a representative group of these stakeholders in order to maximize data completeness and quality, and to encourage broad buy-in and participation in data system scale-up after this pilot. Corrections stakeholders should include (but may not be limited

to) the following categories:

Local jails (municipal, county, and Indian Country) State prisons Federal Bureau of Prisons ICE, Customs and Border Protection Office of Refugee Resettlement U.S. Marshals Private contractors providing facility operations/management services Private contractors providing healthcare services for correctional/detention populations Private contractors providing laboratory services for correctional/detention facilities Professional organizations dedicated to correctional health

In addition, the recipient will be required to collaborate with public health entities to assure that the data system will be able to interact with and contribute to existing public health reporting systems. Public health stakeholders should include (but may not be limited to) the following categories:

Governmental public health entities (local health departments, state health departments) Non-governmental public health entities/organizations

In addition, stakeholder engagement should include research/academic and other non-governmental institutions addressing correctional health, including those that focus on the ethics of the collection and sharing of data from incarcerated populations.

2. Target Populations All people held in correctional or detention facilities are at increased risk for SARS-CoV-2 infection compared with the general U.S. population because of factors related to congregate living, including hygiene constraints and limitations on physical and social distancing. Thus, this NOFO does not target specific subpopulations within the overall incarcerated population.

However, it will be critical for the recipient to address how the COVID-19 data system will allow different correctional and detention facilities and the jurisdictions that manage them to communicate with one another and with public health entities in order to identify groups at greatest risk at any given time based on epidemiologic and operational factors.

a. Health Disparities It has been suggested that due to incarceration, large numbers of the U.S. population are missing from the noninstitutionalized community. Because of this, incarcerated individuals are also missing from national health surveillance systems. This fact suggests that current estimates of population health and health disparities may be incomplete and biased toward the nonincarcerated population and may bias population estimates. This NOFO addresses ensuring data from incarcerated individuals is included in the national health surveillance systems and will facilitate efforts and the nation’s ability to better understand, describe, and design interventions that address the complexities of health disparities. This NOFO will contribute to understanding the consequences of incarceration on health disparities statistics and facilitate improved data collection on incarcerated individuals and health, so they may be included in upcoming cycles of national health surveys.

iv. Funding Strategy

NA

b. Evaluation and Performance Measurement

i. CDC Evaluation and Performance Measurement Strategy CDC will work with the recipient to develop a feasible plan for Evaluation and Performance Measurement that ensures successful monitoring of project implementation and outcomes and that provides for an understanding of the barriers and facilitators to progress. The following are measurable process measures and outcome measures that will be finalized in collaboration with the recipient within 6 months of the start of the project period.

PROCESS MEASURES for this NOFO’s Strategies and Activities will be as follows:

Process Measures for Stakeholder Engagement strategy:

Number of stakeholder calls Number and representativeness of stakeholder groups included in engagement activities Retention of stakeholders involved through the course of the project

Process Measures for Data System Design Strategy:

Number and representativeness of potential data users identified Documentation of data system requirements (including data security and confidentiality), and documentation of engagement with CDC technical experts on developing those requirements

Documentation of data system content Documentation detailing the system options considered for building the data system, and rationale for the best option chosen Completion of final Data Management Plan and Data Quality Assurance Plan, including data quality indicators Documentation confirming the system’s compliance with the Data Management Plan

Process Measures for Pilot Implementation Strategy:

Number and representativeness of state-specific stakeholders engaged Number of pilot sites (prisons and jails) recruited in pilot state Number of trainings provided for pilot sites Number of trainings provided for local and state health departments corresponding to pilot site locations, and to CDC

Process Measures for Plan for Scale-up Strategy:

Documentation of a plan to pursue system scale-up, including plans for onboarding additional sites, ensuring financial sustainability, and planning for ongoing technical management and stewardship of the system and continued data quality assurance

OUTCOME MEASURES for this NOFO’s project period outcomes will be as follows:

Outcome: A representative group of corrections and public health stakeholders is invested in project success.

Outcome Measure: Post-pilot stakeholder feedback on the data system’s ability to meet their needs, and potential modifications needed prior to scale-up in order to do so

Outcome: User-friendly data system is accessible by correctional/detention facilities and by CDC and local and state health departments.

Outcome Measures:

Number of pilot sites with 100% of relevant data represented in data system Number of pilot sites with data viewable in data system Number of public health agencies involved in pilot (state and local health departments and CDC) able to successfully access data in the system

Outcome: Key correctional and public health stakeholders in pilot state are invested in project success.

Outcome Measures:

Number of sites from pilot state that participated in the pilot project Post-pilot stakeholder feedback (in pilot state) on the data system’s ability to meet their needs, and potential modifications needed prior to scale-up in order to do so

Outcome: Operational requirements and data security, confidentiality, and validation requirements are met by the data system.

Outcome Measures:

Percent of data quality indicators (to be defined in collaboration with CDC when developing the system) achieved

Number of pilot sites with ability to access their own data

Outcome: Increased public health-related data sharing between correctional/ detention facilities.

Outcome Measures:

Number of pilot sites sharing their facilities’ data with at least 1 other pilot site Number of pilot sites achieving data sharing metrics such as length of time between the sharing request and successful receipt of data

Outcome: Increased public health-related data sharing between correctional/detention facilities and public health.

Outcome Measures:

Number of public health agencies (state and local health departments and CDC) that can view data from pilot sites in real time through the novel data system

Number of pilot sites that have successfully integrated their data into state and local health departments’ existing public health reporting systems (including identification of their data as coming from a correctional or detention facility)

Length of time between reporting of pilot site data into the novel data system and when a) the state/local health department receives the data in its existing public health reporting system and when b) CDC receives the data in its surveillance system

Frequency that public health agencies (CDC and state and local health departments) access pilot sites’ data, as well as a) whether the information they were seeking is available, b) how the data were used, and c) whether there was any follow-up communication between the public health entity and the facility.

Outcome: Feasibility of the system and justification for scale-up have been demonstrated.

Outcome Measures:

Results of pilot disseminated in a scientific journal article for publication and dissemination (in collaboration with CDC, pilot sites, and state and local health departments in the pilot state).

Post-pilot stakeholder and pilot site feedback regarding feasibility, usefulness, and any modifications needed before scale-up

Number of sites that have committed to scaled-up implementation of the data system

Data collected for evaluation will be limited only to data that will be analyzed and used.

The process and outcome evaluation measures described above will be used to demonstrate the value of this NOFO in the following ways:

Stakeholder Engagement measures will demonstrate potential strengths and limitations of the data system from a) facilities providing data and b) potential end users of the data – both operationally and for evaluation and improvement of health outcomes for correctional populations.

Data System Design measures will demonstrate the intended capabilities of the data system.

Pilot Implementation measures will demonstrate the feasibility of the data system a) to successfully connect correctional and detention facilities with each other and b) to successfully share data with public health entities to improve collaborations, partnerships, and technical assistance.

Scale-up measures will demonstrate the potential growth and sustainability of the data system over time, including its potential to serve as a long-term data source that can improve CDC’s ability to support the health of people who experience incarceration beyond COVID-19.

Because this NOFO involves the collection or generation of public health data applicants are required to submit a Data Management Plan (DMP) that includes, at minimum, the following components:

A description of the data to be collected or generated;

The standards to be used for the collected or generated data;

Mechanisms for, or limitations to, providing access to the data to different categories of potential users including a description for the provisions for the protection of privacy, confidentiality, security, and intellectual property, or other rights. Specifically, the DMP should address access for correctional and detention facilities as well as state and local health departments and CDC. The DMP should also describe any categories of entities that would be prohibited from accessing the data;

Statement of the use of data standards that ensure all documentation that describes the method of collection, what the data represent;

Plans for archiving and long-term preservation of the data, or explaining why long-term preservation and access are not justified; and

A Data Quality Assessment Plan, a methodology detailing how data quality will be monitored. The plan should include specific data elements chosen as quality indicators and a protocol for how those indicators will be monitored over time (including cross-checking a sample of records for accuracy and completeness at the facility level, and checking logic connecting different data elements at the system level). This plan should include a methodology to verify data quality, as well as approaches to improve data quality when challenges are identified, including designating responsible parties at each site and within the team responsible for system development and maintenance. It should also include specified frequency for quality checks, and specified frequency of reporting quality check results to CDC. A phased approach for implementing a Data Quality Assessment Plan is recommended to prioritize data quality activities and scale them up over time.

If all of the information for the DMP components above is not available at the time of the application, include information that is as complete as possible. The DMP may be submitted as a checklist, paragraph, or any other format the applicant chooses.

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 the 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) as new pertinent information becomes available. If applicable, throughout the lifecycle of the project. Updates to DMP should be provided in annual progress reports. 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.

https://www.cdc.gov/grants/additionalrequirements/ar-25.html

Where the applicant chooses to, or is expected to, take on specific evaluation studies, the applicant 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, if applicable, 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 In addition, the recipient must have (and describe within the application narrative):

Relevant experience and capacity (management, administrative, and technical) to implement the activities and achieve the project outcomes (applicant should describe this experience and capacity within the narrative, including a staffing plan and description of the project management structure);

Experience and capacity to implement the Data Management Plan (applicant should describe this experience and capacity within the narrative);

Demonstrated experience working with a variety of governmental and non-governmental correctional stakeholders, with emphasis on the 3,000+ local jails that would comprise the bulk of the eventual participants in a scaled-up data system (applicant should describe their stakeholder relationships and stakeholder engagement strategy within the narrative;

Leverage and high standing in the correctional field to increase the buy-in and commitment required of partners in this effort (applicant should describe within the narrative);

Established relationships with these stakeholders and the ability to communicate the benefits of the proposed COVID-19 data system for their operations and population health (applicant should describe within the narrative);

A sophisticated and nuanced understanding of the different pieces of the U.S. correctional and detention system (applicant should describe within the narrative);

Experience working with CDC to improve public health surveillance in correctional settings (applicant should describe this experience within the narrative, including any specific past collaborations, funded or un-funded – including dates, topics, and outcomes achieved);

The ability to quickly (i.e., within 15 days of the Award) identify at least 1 state prison and at least 2 local jails in the same state that have the operational capacity and interest in becoming pilot sites for this project, and obtain their commitment (applicant should describe within the narrative);

Either in-house IT capacity or the ability to sub-contract with a qualified IT firm to develop the data system within 15 days of the Award (applicant should describe within the narrative); and

The ability to mobilize immediately to meet this Cooperative Agreement’s time-sensitive performance objectives related to the COVID-19 pandemic (applicant should describe within the narrative).

d. Work Plan Applicants are required to provide a detailed work plan that provides both a high-level overview and a detailed description of the work to be conducted during the period of performance. The work plan should incorporate all program strategies and activities outlined in this NOFO and should clearly align with the logic model, outcomes, and measures from the Evaluation and Performance Measurement section of the NOFO.

The work plan should include the following:

Intended outcomes Program strategies and activities aligned with intended outcomes How each strategy and activity will be monitored (outcome measure) Identified partners and/or affiliates

Each required strategy and activity should be clearly labeled. Failure to clearly label work plans may affect funding decisions. No specific work plan format is required, as long as it is clear how the components in the work plan crosswalk to the strategies and activities, outcomes, and evaluation and performance measures presented in the logic model and the narrative sections of the NOFO. An example of a work plan template follows (though this format is not required).

Project Outcome:

[from Outcomes section and/or logic model]

Outcome Measure:

[from Evaluation and Performance Measurement section]

Strategies and Activities

Process Measure [from Evaluation and Performance Measurement section]

Responsible Position / Party

Completion Date

1.

2.

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.

B. Award Information

1. Funding Instrument Type:

CA (Cooperative Agreement) CDC's substantial involvement in this program appears in the CDC Program Support to Recipients Section.

2. Award Mechanism:

U50

3. Fiscal Year:

4. Approximate Total Fiscal Year Funding:

$ 970,550

5. Total Period of Performance Funding:

$ 970,550 This amount is subject to the availability of funds.

Estimated Total Funding:

$ 970,550

6. Total Period of Performance Length:

year(s)

7. Expected Number of Awards:

8. Approximate Average Award:

$ 970,550 Per Budget Period

9. Award Ceiling:

$ 0

Per Project Period

This amount is subject to the availability of funds.

10. Award Floor:

$ 0 Per Project Period

11. Estimated Award Date:

April 30, 2021

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 NOFO.

If you are successful and receive a Notice of Award, in accepting the award, you agree that the award and any activities thereunder are subject to all provisions of 45 CFR part 75, currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions.

C. Eligibility Information

1. Eligible Applicants Eligibility Category:

25 (Others (see text field entitled "Additional Information on Eligibility" for clarification))

2. Additional Information on Eligibility The National Sheriffs’ Association

3. Justification for Less than Maximum Competition The National Sheriffs’ Association (NSA) is uniquely and distinctively positioned to undertake this work due to its focus on local jails, its comprehensive network of criminal justice stakeholders, its strong track record of working with CDC to improve public health surveillance in correctional settings, and its ability to mobilize immediately to meet this cooperative agreement’s time-sensitive performance objectives. No other organization has the combined readiness, expertise, formal stakeholder network, and proven sustainability required by the urgent nature of COVID-19 to implement these activities.

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 for this NOFO exists, leveraging other resources and related ongoing efforts to promote sustainability is strongly encouraged.

5. Maintenance of Effort Maintenance of effort 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 https://www.sam.gov/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 "Applicant Registration" 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.

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

Step System Requirements Duration Follow Up

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-

System for Award Management

(SAM)

formerly Central Contractor Registration

(CCR)

1. Retrieve organizations DUNS number

2. Go to https://www.sam.gov/SAM/ 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://fs d.gov/ fsd-gov/ home.do Calls: 86 6-606-8220

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 create new password

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

Same day but can take 8 weeks to be fully registered and approved in the system (note, applicants MUST obtain a DUNS number and SAM account before applying on grants.gov)

Register early!

Log into grants.gov and check AOR status until it shows you have been approved

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.

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 https://www.sam.gov/SAM/ https://fsd.gov/fsd-gov/home.do https://fsd.gov/fsd-gov/home.do https://fsd.gov/fsd-gov/home.do

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)

The LOI date will generate once the Synopsis is published if Days or a Date are entered.

b. Application Deadline

Due Date for Applications 03/31/2021

03/31/2021 11:59 pm 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.

Due Date for Information Conference Call N/A

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.

Risk Assessment Questionnaire Requirement

CDC is required to conduct pre-award risk assessments to determine the risk an applicant poses to meeting federal programmatic and administrative requirements by taking into account issues such as financial instability, insufficient management systems, non-compliance with award conditions, the charging of unallowable costs, and inexperience.