nationalpartnership-for-womenfoa07152015-.pdf

U.S. Department of Health and Human Services Office of the National Coordinator for Health IT

Measuring Progress Regarding Interoperability through Individuals’ Access and Use of their Electronic Health Data

Program Guidance Funding Opportunity Announcement

Fiscal Year 2015

Release/Posted Date: July 16, 2015

Application Due Date: September 16, 2015 Anticipated Award Date: September 30, 2015

Table of Contents

OPPORTUNITY OVERVIEW

I. Funding Opportunity Description:

A. Background

B. Purpose

C. Scope of Services

D. Project Approach and Structure

1. Grant Management & Work Plan

2. Survey Enhancement

3. Analysis, Report Development and Dissemination

E. Deliverable Table

II. Award Information

A. Summary of Funding

B. Performance Evaluation

C. Award Type

D. General Funding Requirements

E. Project Evaluation and Measurement

III. Eligibility Information

A. Eligible Applicant

B. Sole Source Justification

C. Cost Sharing or Matching

IV. How to Apply Information

A. Address to Request Application Package

B. Content and Form Submission

C. Submission Dates and Times

D. Grants.gov Registration

E. Applying Electronically through Grants.gov

F. Proof of the Applicant’s Status as a Non-Profit Entity

G. Intergovernmental Review of Applications

H. Funding Restrictions

V. Application Review Information

A. Application Screening Criteria

B. Application Responsiveness Criteria

C. Application Completeness Criteria

D. Criteria

VI. Award Administration Information

A. Public Materials Use

B. Intellectual Property/Copyrights

C. Award Notices

D. Notice of Award

E. FY 2015 Appropriations Provision

VII. Other Terms and Conditions

A. Administrative and National Policy Requirements

B. Post-Award Reporting Requirements

C. Audit Requirements

D. HHS Grants Policy Statement

E. Records Retention

F. Reporting

G. Financial Status and Cash Transaction Reports

H. Performance Report

I. Non-Disclosure Requirements

J. Potential for Organizational and Personal Conflicts of Interest (COI)

K. Cooperative Agreement Terms and Conditions of Award

VIII. Agency Contacts

X. Tips for Writing a Strong Application

XI. Appendices

Appendix A. Instructions for completing the SF-424, Budget (SF 424A)

Appendix B. Budget Narrative/Justification, Page 1 – Sample Format with EXAMPLES 34

Appendix C. Budget Narrative/Justification –– Sample Template

Appendix D. Project Work Plan, Page 1 – Sample Template

Appendix E. Project Work Plan, Page 2 – Sample Format

IX. Other Information

OPPORTUNITY OVERVIEW

Funding Opportunity Announcement Title: Measuring Progress Regarding Interoperability through

Individuals’ Access and Use of their Electronic Health Data

Federal Funding Agency: Office of the National Coordinator for Health Information Technology (ONC), U.S. Department of Health and Human Services (HHS)

Announcement Type: Cooperative Agreement

Funding Opportunity Number: NAP-AX-15-007

Catalog of Federal Domestic Assistance (CFDA) Number: 93.857

Statutory Authority: Consolidated and Further Continuing Appropriations Act, 2015'', Pub. L. No. 113-235, Division G, Title II, and Title XXX, §§ 3001 (c)(2) and 3011 of the Public Health Service Act

Approximate Amount of Funding Available: $50,000

Anticipated number of Awards: 1

Period of Performance: Two (2) years

Important Dates:

The application review and funding process for this cooperative agreement will take place according to the table below. The applicant will need to submit an application that will undergo an objective review. A successful application will result in the award of a two (2) year cooperative agreement.

FOA Details Date1 FOA Public Release

July 16, 2015

Application Due Date

September 16, 2015 by 11:59pm EST

Estimated Award Announcements

September 30, 2015

Anticipated Project Start Date

September 30, 2015

1 The announcements and start dates are approximate.

Executive Summary

Measuring individuals’ access and use of their electronic health information is critical component of assessing how well national efforts to expand interoperability are progressing. The National Partnership for Women & Families (“National Partnership” or “NPWF”) and the Office of the National Coordinator of Health IT (ONC) will work collaboratively to develop and incorporate questions into the National Cancer Institute’s Health Information National Trends Survey (HINTs) and once the results of the NCI survey results are available, the National Partnership will review the results, and assist ONC with the reporting and dissemination of the results. The National Partnership’s involvement will enable ONC to collect, analyze and report on information that will help us better understand individuals’ access to their electronic health information and the use of their health information including tools that enable them to collect, share and use their health information to monitor and manage health care needs for themselves and their loved ones.

I. Funding Opportunity Description:

A. Background

The HITECH Act set forth a plan for advancing a nationwide health information technology infrastructure to facilitate the electronic use and exchange of information and to improve the quality and efficiency of health care, among other objectives. Increasing individuals’ access and use their electronic health information is seen as a key cornerstone of HITECH Acts goals to facilitate the electronic use and exchange of health information.

Through ONC’s Health IT Certification Program, certified electronic health record (EHR) products include specifications that enable individuals to view, download and transmit their electronic health information. The use of certified EHR technology with these capabilities has been promoted through the Centers for Medicare &Medicaid Services (CMS) EHR Incentive Programs. In order to successfully attest and demonstrate “meaningful use” of certified EHR technology for Stage 2 of the CMS EHR Incentive programs, eligible professionals and hospitals must provide their patients with the ability to view, download, and transmit their electronic health information. Other nationwide efforts to expand individuals’ access to their electronic health information, include changes in Clinical Laboratory Improvement Amendments (CLIA) to enable patients’ direct access to their test results from laboratories and the expansion of the Blue Button Initiative.1-5

Although there have been a number of efforts to increase individuals’ access to their electronic health information, in 2013 over one-third of individuals have been found to experience gaps in exchange and interoperability between themselves and their provider and among their health care providers.6 Addressing these gaps is a national priority, particularly as individuals can play an important role in managing and sharing their health information. The Interoperability Roadmap, a draft plan for achieving nationwide interoperability calls for a majority of individuals to have the ability to send, receive, find and use their electronic health information by 2017.

Given these policy priorities, ONC seeks to measure the impacts of these efforts to increase electronic access and use of health information by individuals and caregivers—a key aspect of expanding interoperability of health information. ONC is explicitly tasked through the HITECH Act with overseeing many federal efforts relating to health IT. Chief among these HITECH Act responsibilities for ONC are: promoting the development of a nationwide health IT infrastructure that allows for electronic use and exchange of information; coordinating health IT policy; and updating the Federal Health IT Strategic Plan to meet the objectives specified in the HITECH Act. In order to fulfill ONC’s role to coordinate health IT policy and promote the development of interoperable health IT infrastructure, ONC needs to measure progress related interoperability across providers and individuals.

B. Purpose

The purpose of this cooperative agreement is to engage the National Partnership for Women and Families to develop high quality measures to report on individuals’ access and use of their electronic health information;

to develop high quality data products (e.g. briefs, peer-review publications, other written reports) to report on these measures; and to broadly disseminate the results to inform the public and key stakeholders.

ONC plans to use the HINTS survey, a nationally representative survey on adults, 18 years and older, which is conducted by the National Cancer Institute (NCI), to measure individuals’ access and use of their electronic health information. ONC will use the HINTS survey to measure and report on: 1) individuals’ access to their electronic health information and the use of their electronic health information including tools that enable them to collect, share and use their electronic health information to monitor and manage health care needs for themselves and their loved ones; and (2) barriers to access and use of electronic health information, including privacy and security issues, limited interoperability of electronic health record systems and other factors.

The National Partnership will help ONC identify and develop survey items to incorporate in the HINTS survey. NCI will then conduct the HINTS survey including the added survey items. Once the HINTS survey results are available, the National Partnership will review and help interpret the results, and help ONC develop data products (e.g. data briefs and other written reports) and disseminate the results broadly to the public and key stakeholders, particularly to consumers.

C. Scope of Services

This potential cooperative agreement involves supporting ONC’s efforts to measure and report on individuals’ access and use of their electronic health information. Working with ONC, the National Partnership will identify survey items, from its and ONC’s past surveys, and help develop new survey items for inclusion in the HINTS survey. NCI will then conduct the HINTS survey including the added survey items. Once the HINTS survey results are available, the National Partnership will review and help interpret the survey results and assist ONC in the development of written data products, such as data briefs. Finally, the National Partnership will help disseminate the results through its various channels, including via webinars, blogposts and social media.

D. Project Approach and Structure

1. Grant Management & Work Plan

Goal 1.1: Initial Meeting - The awardee shall meet with ONC staff within seven (7) working days of the award of the grant to discuss the work plan, which will include work schedule, the data collection plan, and general insights on the direction of this year’s survey.

Goal 1.2: Work Plan – The awardee shall produce a draft work plan within ten (10) working days of the initial meeting that reflects the discussions from the initial meeting. ONC staff will provide comments/approval of the plan within ten (10) working days. The awardee shall develop a revised work plan based upon the comments within five (5) working days of receiving the comments.

Goal. 1.3 Ongoing Communication—The awardee shall provide regular updates to ONC regarding progress on workplan. This would consist of regular meetings, at minimum on a monthly basis via telephone with ONC to update them on progress related to the workplan.

2. Survey Enhancement

Goal 2.1 Identify content for inclusion in the HINTS survey. ONC and the awardee will work collaborative to identify specific survey items from past ONC and National Partnership for Women & Family surveys that should be included in HINTs. Additionally, ONC and awardee will identify other appropriate content to include in the survey.

Goal 2.2 Develop new survey items. ONC will take the lead to develop new survey items for the agreed upon additional content to be included in the survey. Awardee will provide input to help craft and revise the survey items.

3. Analysis, Report Development and Dissemination

Goal 3.1. Upon receipt of the HINTS survey results from NCI, ONC shall conduct preliminary analyses, including reporting on topline results and develop data visualizations and graphics to help examine key areas of interest agreed upon by both ONC and the awardee. Awardee shall review findings and assist in interpreting results, identifying and summarizing key results, in collaboration with ONC.

Goal 3.2. ONC and awardee shall work collaboratively to produce data products (e.g. data briefs, issue briefs, peer-review publications, visualizations) to be jointly distributed by ONC and awardee through various potential avenues, such as webinar and blog posts.

Goal 3.3 Awardee shall help broadly disseminate results through its communication channels and activities such as webinars, blogposts and social media.

E. Deliverable Table

The table below identifies specific milestones to support the execution of the cooperative agreement and the due date by which the milestones will be met.

Item Description/Standard Due Date GOAL 1 Cooperative Agreement Management & Analysis Plan

Overall cooperative agreement management ensures successful and timely performance by providing the technical and functional activities required by the grant

Continuous

Goal 1.1: Initial Meeting Meeting minutes/summary inclusive of Work Plan discussions during initial meeting

Within seven (7) working days of the initial meeting

Goal 1.2: Work Plan

Draft Work Plan is appropriate for accomplishing the goals and includes the schedule, survey enhancement, analysis and reporting, and dissemination of survey results.

Within ten (10) working days of the initial meeting; Draft work plan reflects the discussion from the initial meeting. ONC staff will provide comments/approval of the plan within five (5) working days. The awardee shall develop a revised work plan based upon the comments within five (5) working days of receiving the comments.

Goal. 1.3 Ongoing Communication The awardee shall provide regular updates to ONC regarding progress on workplan.

Monthly telephone meetings with ONC during performance period (12 months)

Goal 2: Survey Enhancement

Goal 2.1: Identify Content for HINTS survey

Goal 2.2: Develop new survey items for HINTS survey.

ONC and the awardee will work collaborative to identify specific survey items from past ONC and National Partnership for Women & Family surveys that should be included.

Additionally, ONC and awardee will identify other appropriate content to include in the HINTS survey. ONC will take the lead to develop new survey items for the agreed upon additional content to be included in the survey.

Awardee will provide input to help craft and revise the survey items.

Complete both goal 2.1 and 2.2 by November, 2015

Item Description/Standard Due Date Goal 3: Analysis, Report Development and Analysis and Dissemination

Goal 3.1. Review and help interpret and summarize findings

Goal 3.2 Help ONC develop data products.

Goal 3.3. Help disseminate results

Awardee shall review ONC’s analysis of the HINTS survey results to assist in interpreting results, identifying and summarizing key results, assist in the development of data products (e.g. data briefs) and help disseminate results (via webinars, blogposts) in collaboration with ONC.

Goal 3: October, 2016

Goal 3.1: February, 2017

II. Award Information

A. Summary of Funding

Type of Award Cooperative Agreement

Approximate Total Funding $50,000

Number of Awards 1

Anticipated Award Date September 15, 2015

Project Period Length 2 Years

Estimated Start Date September 30, 2015

Throughout the project period, ONC’s commitment to continuation of awards will be conditioned on the availability of funds, 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.

ONC reserves the right to make supplement awards under this program, consistent with Agency policy, if additional funding becomes available after the original award is made, to continue to advance the objectives of this program.

B. Performance Evaluation

The awardee’s performance will be evaluated on a quarterly basis by ONC. The awardee will partner with ONC to establish quarterly reporting mechanisms to track and monitor progress towards goals. The awardee shall submit one Final Project Report related to the overall project performance. A specific Final Project Report format will be finalized by ONC following the award date.

C. Award Type

The funding instrument used for this program will be the cooperative agreement, an award type in which substantial ONC programmatic involvement with the awardee is anticipated during the performance of the activities. Under the cooperative agreement, ONC’s purpose is to support and stimulate an awardee’s activities by involvement in and otherwise working jointly with the awardee in a partnership role; it is not to assume direction, prime responsibility, or a dominant role in the activities. Consistent with this concept, the dominant role and prime responsibility resides with the awardee for the project as a whole, although specific tasks and activities may be shared among the awardee and ONC as defined in this funding agreement.

ONC will work closely with the awardee to plan and implement processes in a collaborative fashion. More particularly, ONC staff is substantially involved with the program activities, above and beyond routine grant monitoring. These activities include, but are not limited to: a) review and approval of the implementation plan and all other deliverables submitted to meet the goals of the project (identified in the Deliverable Table); b) providing tactical guidance and feedback during project execution; c) engaging with leadership of the organization, as necessary, to ensure successful execution of the cooperative agreement; and d) working collaboratively with the awardee to successfully complete all aspects of this project.

D. General Funding Requirements

The application must address the following requirements:

• Identifying survey items and helping develop survey items to include in the HINTS survey

• Review results with ONC and work with ONC to interpret results and identify key findings; synthesize results and develop data products (e.g. data briefs)

• Engage in disseminating results to a broad audience via activities such as webinars, blog posts, and social media

E. Project Evaluation and Measurement

ONC will measure the success of the awardee through project goals, including, but not limited to the following:

Project Goals:

1. Successfully develop high quality content (e.g. survey question) to include in HINTS survey

2. Provide substantive input on the analysis, interpretation and synthesis of results.

3. Collaborate with ONC to produce high quality data products and reports

4. Widely disseminate findings to a broad audience via activities such as webinars, blog posts, and social media

III. Eligibility Information

A. Eligible Applicant

This is a non-competitive funding opportunity and is restricted to the organization designated below.

Organizations not designated as such are not eligible to apply for this opportunity, and therefore should not submit an application. Applications submitted by organizations not designated below will not be considered.

Designated Organization: National Partnership of Women & Families (NPWF)

B. Sole Source Justification

The National Partnership is uniquely situated to successfully carry out the kind work that is being proposed with ONC based upon their: (1) experience working as a consumer advocacy organization and their past work and understanding of the health IT issues specific to consumers; and (2) their past experience conducting surveys regarding consumers’ online access and use of their electronic health information.

Experience in consumer health IT issues. The Consumer Partnership for eHealth (CPeH) is a non-partisan coalition led by the National Partnership for Women & Families, which has been working since 2005 to ensure that efforts to drive health information technology (IT) adoption meet the needs of patients and their families. CPeH includes members from nearly 50 consumer, patient, and labor organizations working on both the national and local levels, and remains the only coalition comprised solely of consumer and patient advocates. The combined membership of CPeH represents more than 127 million Americans. The National Partnership’s years of experience working to advance health IT policy and implementation for patients and families will be critical in the development, analysis and dissemination of the Consumer Health Information Technology Survey results.

Experience conducting surveys regarding consumer health IT. The National Partnership has an ongoing data collection effort in place designed to capture information on the consumers’ access to their electronic health information and use in the United States. Based upon their unique understanding of consumers’ health IT issues and needs, in 2011 and in 2014, NPWF conducted national surveys of consumers regarding access and use of health IT. NPWF worked with Harris Poll to conduct a national online survey of 2,045 adults. The NPWF produced a report summarizing consumers’ online access, electronic communication and information sharing, privacy and trust, and designing and building health information technology for diversity of various consumer populations. The NPWF will share their survey items for potential inclusion in the HINTS survey.

In addition to NPWF’s unique experience provides ONC with the unique ability to collaborate and provide input on the content of the survey instrument to inform policy decisions. For these reasons, ONC believes a sufficient basis exists to limit this funding opportunity to a sole source cooperative agreement with the NPWF for a project period of 24 months starting in September, 2015.

C. Cost Sharing or Matching

There is no cost sharing or match requirement for this award.

IV. How to Apply Information

A. Address to Request Application Package

Application materials will be available for download at http://www.grants.gov. ONC requires the applicant to submit application materials as a complete package. Such materials must be delivered through the electronic mail function at http://www.grants.gov.

APPLICATION WILL NOT BE ACCEPTED THROUGH ANY OTHER WEBSITE, AND WILL NOT BE

ACCEPTED THROUGH PAPER MAIL, COURIER, OR DELIVERY SERVICE.

APPLICANT IS STRONGLY ENCOURAGED TO COMPLETE AND SUBMIT ITS APPLICATION AS

FAR IN ADVANCE OF THE SUBMISSION DEADLINE AS POSSIBLE. THE APPLICATION

INCLUDING ALL REQUIRED ATTACHMENTS AND INCLUDED FILES FOR POTENTIAL

CONSIDERATION IN THE REVIEW PROCESS MUST BE RECEIVED BY 11:59 PM EASTERN TIME

ON THE DATE SPECIFIED IN SECTION IV C, BELOW.

Applications Procedures:

• You must access the electronic application for this program via http://www.grants.gov. You must search the downloadable application page by the Funding Opportunity Number NAP-AX-15-007 or CFDA number (93.857).

• Applicant should have a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number and register in the System for Award Management (SAM). Allow a minimum of five days to complete the SAM registration. It is critical to know that SAM registration requires an annual renewal.

• Submit all documents electronically, including all information included on the SF-424 and all necessary assurances and certifications.

• Ensure that the application complies with any page limitation requirements described in this Program Guidance.

• After electronically submitting your application, an automatic email notification will be sent to confirm the email was received. This notification does not provide assurance that your application was complete, only that the email was received.

• After ONC reviews submission, a return receipt will be emailed to the applicant contact indicating the files that were received and able to be successfully opened and read. Organizations applying for federal grants need to be registered with SAM. You can register with the SAM online in a process that will take about 30 minutes (http://www.sam.gov). If you have already registered with SAM, but have not renewed your registration in the last 12 months, you will need to renew your registration at http://www.sam.gov.

B. Content and Form Submission

Project Abstract

Applicant shall include a one-page abstract (no more than 500 words) of the application. This abstract is often distributed to provide information to the public and Congress and represents a high-level summary of the project. As a result, applicant should prepare a clear, accurate, concise abstract that can be understood without http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.sam.gov/ reference to other parts of the application and that provides a description of the proposed project, including:

the project’s goal(s), objectives, overall approach, anticipated outcomes, products, and duration.

The applicant shall place the following information at the top of the Project Abstract (this information is not included in the 500 word maximum):

• Project Title

• Applicant Name

• Address

• Contact Name

• Contact Phone Numbers (Voice, Fax)

• E-Mail Address

• Web Site Address, if applicable

Budget Forms

The applicant is required to fill out the following budget forms to include the costs associated with the proposed project activities. These forms will be submitted through grants.gov as part of the application package and will include the following:

Application for Federal Assistance (SF-424) Budget Information for Non-Construction Programs (SF-424A) Assurances for Non-Construction Programs (SF-424B) Disclosure of Lobbying Activities (SF-LLL)

Please note that these forms do not replace program-specific guidance provided in this funding opportunity announcement. Additional instruction regarding budget forms can be found in Appendix A.

Project Narrative

The Project Narrative is the part of the application that will offer the most substantive information about the proposed project, and it will be used as the primary basis to determine whether or not the project meets the minimum requirements for awards. The Project Narrative should provide a clear and concise description of your project.

The Project Narrative must provide the reader with an understanding of how the applicant will successfully achieve the goals as described earlier in developing, conducting, reporting and disseminating the survey results.

The Project Narrative must be double-spaced, formatted to 8 ½” x 11” (letter-size) pages with 1” or larger margins on top, bottom, and both sides, and a font size of not less than 11 point. The maximum length allowed for the Project Narrative is 10 pages. A full application with a Project Narrative that exceeds 10 pages will not be accepted. Resumes of Key Personnel are not counted as part of the Project Narrative for purposes of the 10-page limit.

(Note: a concise resource offering tips for writing proposals for HHS grants and cooperative agreements can be accessed via the Web at: http://www.hrsa.gov/grants/apply/granttips.html) http://www.hrsa.gov/grants/apply/granttips.html

Budget Narrative

The applicant is required to outline proposed costs that support all project activities in the Budget Narrative/Justification. The application must include the allowable activities that will take place during the funding period and outline the estimated costs that will be used specifically in support of the program. Costs are not allowed to be expended until the start date listed in the Notice of Grant Award. Whether direct or indirect, all costs must be allowable, allocable, reasonable and necessary under the applicable Uniform Guidance: http://www.ecfr.gov (2 CFR 200 Subpart E) and based on the programmatic requirements for administering the program. The budget period will be equivalent to the project period.

C. Submission Dates and Times

The applicant will be required to submit an application that will undergo screening for completeness and responsiveness and, if indicated, an objective review process. The application must be submitted via grants.gov no later than 11:59 p.m. EST September 16, 2015. If the application fails to meet the application due date, it will not be reviewed and will receive no further consideration. Grants.gov will automatically send the applicant a tracking number and date of receipt verification electronically once the application has been successfully received and validated. After the Office of Grants Management retrieves the application form from grants.gov, a return receipt will be emailed to the applicant contact. This will be in addition to the validation number provided by grants.gov.

FOA Released Applications Due Cooperative Agreements

Awarded

Anticipated Start Date

July 16, 2015 September 16, 2015 September 30, 2015 September 30, 2015

D. Grants.gov Registration

Registration with Grants.gov can take several days. The applicant is strongly encouraged to locate and test current logins and passwords for this system well in advance of the deadline date. For assistance with www.grants.gov, please contact them at support@Grants.gov or 1-800-518-4726 24 hours a day/7 days a week.

E. Applying Electronically through Grants.gov

All information needed to submit the application electronically through this site can be found at Grants.gov.

Additionally, there are a variety of requirements that are critical to know and comply with in order to meet the application deadline and submission requirements:

• The applicant will be able to download a copy of the application packet, complete it off-line, and then upload and submit the application via the website.

• The applicant can access the electronic application for this program on Grants.gov. The Applicant must search the downloadable application page by the Funding Opportunity NAP-AX-15-007 or CFDA number 93.857.

• ONC strongly recommends that applicant not wait until the application due date to begin the application process through Grants.gov.

http://www.ecfr.gov/ http://www.grants.gov/ mailto:support@Grants.gov

• To complete an application in Grants.gov, applicant must have a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number and be registered in the System for Award Management (SAM). Applicant should allow a minimum of five days to complete the SAM registration. It is critical to know that SAM registration requires an annual renewal. As a result, ONC strongly encourages applicant to ensure that their registrations are current or to renew their registration well in advance of the application deadline. For more information or to check or renew registration, go to http://www.sam.gov.

• The applicant must submit all documents electronically, including all information included on the SF424 and all necessary assurances and certifications.

• Prior to application submission, if Microsoft Vista and Office 2007 are used, applicant should review the Grants.gov compatibility information and submission instructions provided at Grants.gov (click on “Vista and Microsoft Office 2007 Compatibility Information”).

• If the application fails to meet the application due date, it will not be reviewed and will receive no further consideration.

• After application is submitted electronically, applicant will receive an automatic acknowledgement from Grants.gov that contains a Grants.gov tracking number.

• After ONC reviews the submission, a return receipt will be emailed to the awardee contact indicating the files that were received and able to be successfully opened and read.

• Application must be submitted via http://www.grants.gov no later than 11:59p.m. EST on September 16, 2015.

F. Proof of the Applicant’s Status as a Non-Profit Entity

If the applicant is a US-based non-profit entity it must provide documentation of its 501C status or IRS determination letter, IRS tax exemption certificate, or letter from state taxing body verifying tax-exempt status.

G. Intergovernmental Review of Applications

The application for this cooperative agreement is not subject to review by states under Executive Order 12372, “Intergovernmental Review of Federal Programs” (45 CFR 100). Please check box “C” on item 19 of the SF 424 (Application for Federal Assistance).

H. Funding Restrictions

Funds under this announcement cannot be used for the following purposes:

• To supplant or replace current public or private funding.

• To purchase or improve land, or to purchase, construct, or make permanent improvements to any building.

• To reimburse pre-award costs.

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

Guidance for completing your budget can be found in Appendix A.

V. Application Review Information

A. Application Screening Criteria

If the application fails to meet the following screening criteria described below, it will not be reviewed and will receive no further consideration.

In order for an application to be reviewed, it must meet the following screening requirements:

• The application must be submitted electronically via http://www.grants.gov by 11:59 p.m., Eastern

Time, September 16, 2015.

• The Project Narrative section of the application must be double-spaced, on 8 ½” x 11” plain white paper with 1” margins on both sides, and a font size of not less than 11.

• The Project Narrative must not exceed 10 pages. Any pages over the limit will not be reviewed.

NOTE: Letters of Commitment and Resumés of Key Project Personnel are not counted as part of the Project Narrative for purposes of the 10-page limit.

B. Application Responsiveness Criteria

If the application does not meet the following responsiveness criteria, it will be administratively eliminated and will not be sent forward for merit review:

The application clearly addresses the project theme.

The applicant meets the eligibility criteria as required by Section III.A, Eligible Applicant.

The application is complete and includes the required components stated in Section I.B, including all elements of the program narrative needed to forward it for merit review.

C. Application Completeness Criteria

ONC will screen the application to identify those that do not meet criteria outlined below. The application screening criteria are:

• The application is received by the deadline required under Section IV.C, Submission Dates and Times.

• The application meets the formatting and length requirements found in Section IV.B, Content and

Form of Application Submission.

• Appendices and attachments are not used as a mechanism to exceed page limits in Project Narrative.

D. Criteria

A panel that may include both expert peer reviewers and Federal staff will review the application to ensure that it meets the responsiveness and screening criteria outlined in this section. The purpose of this review is to determine if the approach and strategy are aligned with grant requirements. The detailed results of this review will be shared with the applicant upon request. The application will be scored according to the following point system:

1. Discussion and Understanding of the Project – 25 points maximum

The applicant demonstrates knowledge and understanding of how to measure, report on and broadly disseminate findings related to consumer health IT issues as well as specific to individuals’ online access and use of their electronic health information.

2. Technical Approach – 25 points maximum

The applicant’s approach is succinct and logical in format and demonstrates methods consistent with the tasks to be accomplished. The applicant must propose a clear and detailed actionable plan which includes specific list of activities and deliverables to achieve the goals specified in the cooperative agreement.

3. Personnel Qualification and Past Performance – 30 points maximum

The applicant must demonstrate and provide evidence of experience and knowledge of consumer health IT related issues, and experience conducting consumer surveys related to consumer health IT.

The technical experts to perform tasks on this Funding Opportunity Announcement (FOA) must have the expertise to be able to successfully complete the tasks. The applicant must demonstrate ability to successfully manage projects of similar size and ability to disseminate findings to consumer health IT stakeholders. All evidence of their past work must be provided in the personnel resumes in the appendix of the applicant’s proposal.

4. Management Plan – 15 points maximum

The applicant must provide a project plan that includes an implementation plan to carry out each of the activities proposed in the response, regular meetings to assess progress, and a timeline for each of the goals with specific dates identified.

5. Budget Plan –5 points maximum

The applicant must provide a detailed breakdown on how they plan to spend the allotted resources to complete the tasks outlined in the cooperative agreement based on the guidance provided by ONC in the Purpose of the cooperative agreement.

MAXIMUM TECHNICAL SCORE = 100 POINTS

The application will be reviewed for completeness by ONC’s Office of Procurement and Grants, and for responsiveness by ONC. An incomplete application and application that is non-responsive to the eligibility criteria will not advance through the review process. The applicant will be notified that their application did not meet submission requirements.

• An objective review panel will evaluate your application according to the criteria listed in the Criteria section above.

VI. Award Administration Information

Type of Award: Cooperative Agreement Total Amount of Funding Available: $50,000 (Estimated) Number of Awards: 1 Project Period End Date: 2 years

A. Public Materials Use

Section 508-compliant materials developed through this funding will be made publicly available at the end of the project period, if not released over the course of the program period.

B. Intellectual Property/Copyrights

The Government reserves all rights granted by, and recipient agrees to be bound by, Administrative Requirements, Cost Principles, and audit requirements as codified in 2 CFR 200 regarding rights in intangible property, 2 C.F.R §200.315, which is specifically incorporated therein. Generally, the recipient may copyright any work that is subject to copyright and was developed, or for which ownership was purchased under this award. The Government reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and to authorize others to do so. For any work owned by a third-party that was licensed by the recipient under this award, recipient will assure that said license also reserves for the Government a royalty-free, non-exclusive, and irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and authorize others to do so.

C. Award Notices

A letter of notification will be issued, acknowledging that an award was funded. However, this does not provide authorization for the applicant to begin performance and expend funds associated with the award until the start date of the award as indicated in the notice.

D. Notice of Award

The Notice of Grant Award (NGA) is signed by the ONC Grants Management Officer. The successful applicant’s Authorized Representative will receive the NGA electronically from ONC. The NGA is considered the official authorizing award document.

The NGA will include amount of funds awarded, the terms and conditions of the cooperative agreement, the effective date of the award, the budget period for which support will be given, the total project period timeframe, and the total approved budget.

The NGA will provide pertinent instructions and information including, at a minimum, the following:

1. Legal name and address of performing organization or institution to whom ONC has issued an award under the terms of this request for applications;

2. Title of project;

3. Name(s) of institution(s) or Project Directors (PDs) chosen to direct and control approved activities;

4. Identifying award number assigned by ONC;

5. Project period, specifying the amount of time ONC intends to support the project without requiring re-competition of funds;

6. Total amount of financial assistance approved by ONC during the project period;

7. Legal authorities under which the award is issued;

8. Appropriate Catalog of Federal Domestic Assistance (CFDA) number;

9. Applicable award terms and conditions;

10. Approved budget plan for categorizing allocable project funds to accomplish the stated purpose of the award; and

11. Other information or provisions deemed necessary by ONC to carry out its respective awarding activities or to accomplish the purpose of a particular award.

In accepting an ONC award, the awardee assumes legal, financial, administrative, and programmatic responsibility for administering the award in accordance with the terms and conditions of the award, as well as applicable laws, rules, regulations, and Executive Orders governing HHS assistance awards, all of which are to be incorporated into the award by reference. Failing to comply with these requirements may result in suspension or termination of the award and/or ONC’s recovery of award funds.

E. FY 2015 Appropriations Provision

Department of Health and Human Services (HHS) recipients must comply with all terms and conditions outlined in their grant award(s), including grant policy terms and conditions contained in applicable HHS Grants Policy Statements, and requirements imposed by program statutes and regulations, Executive Orders, and HHS grant administration regulations, as applicable; as well as any requirements or limitations in any applicable appropriations acts.

VII. Other Terms and Conditions

These special terms and conditions of the award are in addition to and not in lieu of otherwise applicable OMB administrative guidelines, HHS grant administration regulations in 2 CFR Part 200, Subparts B through D, and other HHS and ONC policy statements.

This cooperative agreement is for a period of two years. By accepting an award, the awardee is required to abide by 2CFR Part 200, Subparts B through D, and other HHS and ONC policy statements. Drawdown of funding for this cooperative agreement serves as official acceptance of this cooperative agreement. If you do no plan to accept the award, please send a letter of declination to the ONC Project Officer within 30 days of receipt of the Notice of Grant Award.

A. Administrative and National Policy Requirements

The award is subject to HHS Administrative Requirements, which can be found in 2 CFR 200, Subparts B through D and the Standard Terms and Conditions implemented through the HHS Grants Policy Statement (GPS) located at http://www.hhs.gov/asfr/ogapa/aboutog/hhsgps107.pdf.

B. Post-Award Reporting Requirements

All reporting requirements will be provided to the applicant of a successful application, adherence to which is a required condition of any award. In general, a successful applicant under this guidance must comply with the following reporting and review activities:

C. Audit Requirements

The awardee must comply with audit requirements of Office of Management and Budget (OMB) Uniform Guidance as codified in 2 CFR Part 200, Subpart F. Information on the scope, frequency, and other aspects of the audits can be found at http://www.ecfr.gov/cgi-bin/text-idx?SID=ed90f54836feb6a994f657188eb05e33&node=2:1.1.2.2.1&rgn=div5. The HHS Office of the Inspector General (OIG) maintains a toll-free number (1-800-HHS-TIPS [1-800-447-8477]) for receiving information concerning fraud, waste, or abuse under grants and cooperative agreements. Information also may be submitted by e-mail to hhstips@oig.hhs.gov or by mail to Office of the Inspector General, Department of Health and Human Services, Attn: HOTLINE, 330 Independence Ave., SW, Washington, DC 20201. Such reports are treated as sensitive material and submitters may decline to give their names if they choose to remain anonymous.

D. HHS Grants Policy Statement

ONC awards are subject to the requirements of the HHS GPS that are applicable to the grant/cooperative agreement based on recipient type and purpose of award. This includes, as applicable, any requirements in Parts I and II of the HHS GPS that apply to the award, as well as any requirements of Part IV. The HHS GPS is available at http://www.hhs.gov/asfr/ogapa/aboutog/hhsgps107.pdf. The general terms and conditions in the HHS GPS will apply as indicated unless there are statutory, regulatory, or award-specific.

E. Records Retention

The awardee generally must retain financial and programmatic records, supporting documents, statistical records, and all other records that are required by the terms of a grant, or may reasonably be considered pertinent to a grant, for a period of three years from the date the final annual FFR is submitted. For awards where the FFR is submitted at the end of the competitive segment, the three-year retention period will be calculated from the date the FFR for the entire competitive segment is submitted. The awardee must retain the records pertinent to the entire competitive segment for three years from the date the FFR is submitted. See 2 CFR 200.333 for exceptions and qualifications to the three-year retention requirement (e.g., if any litigation, claim, financial management review, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken). Those sections also specify the retention period for other types of grant-related records, including indirect cost proposals and property records. See 2 CFR 200.326 for record retention and access requirements for contracts under grants.

http://www.ecfr.gov/cgi-bin/text-idx?SID=ed90f54836feb6a994f657188eb05e33&node=2:1.1.2.2.1&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?SID=ed90f54836feb6a994f657188eb05e33&node=2:1.1.2.2.1&rgn=div5 mailto:hhstips@oig.hhs.gov http://www.hhs.gov/grantsnet/adminis/gpd/ http://www.hhs.gov/asfr/ogapa/aboutog/hhsgps107.pdf

F. Reporting

All reporting requirements will be provided to applicant, adherence to which is a required condition of any award. In general, applicant must comply with the following reporting and review activities.

G. Financial Status and Cash Transaction Reports

Semi-Annual expenditures must be submitted for each fiscal year during the period of performance (October 1 through September 30) using the SF-425, Federal Financial Report (FFR). Reports are due to HHS no later than April 30 of each year the award is active for funds expended between October and March, and no later than October 31 for funds expended between April and September. The semi-annual FFR will be submitted using the Online Data Collection (OLDC) system. ONC will not accept reports sent directly to the ONC Grants mailbox.

Please note that grantees are required to report on their funding streams expenditure in Section 12 of the Semi- Annual Federal Financial Report (FFR).

The FFR Cash Transaction Report is submitted via the Payment Management System (PMS) every calendar quarter for the life of the grant. The report must be submitted within 30 days after the end of the quarter (January 31, April 30, July 31, and October 31). Grantees are required to complete the FFR Cash Transaction Report via the Payment Management System each calendar quarter.

H. Performance Report

Awardee will partner with ONC to establish regular reporting mechanisms to track and monitor progress towards goals. The awardee shall submit one Final Project Report related to the overall project performance.

A specific Final Project Report format will be finalized by ONC following the award date.

I. Non-Disclosure Requirements

Since this cooperative agreement may require a awardee to have access to information relating to any and all aspects of grants management operation that may be of a technical; legal; sensitive and/or confidential nature;

and which may be of the sole property of the U.S. Government, each awardee must ensure that all its personnel (to include chief executives, directors, any consultants, sub-recipients, or any other personnel that are substantially involved in the performance of this cooperative agreement) who will be personally and substantially involved in the performance of this cooperative agreement:

• Execute and submit Non-Disclosure Agreements prior to the commencement of any work on the cooperative agreement; and

• Put in place appropriate procedures for the protection of such information, and must be liable to the Government for any misuse or unauthorized disclosure of such information by its personnel, as defined above.

J. Potential for Organizational and Personal Conflicts of Interest (COI)

The term “organizational conflict of interest” means that the applicant (to include its chief executives, directors, any consultants, sub-recipients, or any other personnel that are substantially involved in the performance of this cooperative agreement) has interests in which:

i. May diminish its capacity to give impartial, technically sound, objective assistance and advice in performing these tasks;

ii. May otherwise result in a biased work product under this cooperative agreement; or

iii. May result in an unfair competitive advantage to itself or others.

In accordance with Section 200.112, the applicant and non-federal entities must disclose in writing any potential conflicts of interest (COI) that they have with the HHS awarding agency and/or any other pass-through entities. The applicant must notify the HHS awarding agency and their respective grants management officer (GMO) when they believe a COI may exist. If after award, the awardee discovers a COI, with respect to this cooperative agreement, must make an immediate and full disclosure in writing to the GMO.