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pdfAttachment 3. APPLETREE NOFO CDC-RFA-TS20-2001
Centers for Disease Control and Prevention
Agency for Toxic Substances and Disease Registry
ATSDR's Partnership to Promote Local Efforts To Reduce Environmental Exposure
CDC-RFA-TS20-2001
Application Due Date: 12/15/2019
ATSDR's Partnership to Promote Local Efforts To Reduce Environmental Exposure
CDC-RFA-TS20-2001
TABLE OF CONTENTS
Part I. Overview Information
A. Federal Agency Name
B. Funding Opportunity Title
C. Announcement Type
D. Agency Funding Opportunity Number
E. Assistance Listings (CFDA) Number
F. Dates
G. Executive Summary
Part II. Full Text
A. Funding Opportunity Description
B. Award Information
C. Eligibility Information
D. Required Registrations
E. Review and Selection Process
F. Award Administration Information
G. Agency Contacts
H. Other Information
I. Glossary
Part I. Overview Information
Applicants must go to the synopsis page of this announcement at www.grants.gov and click on
the "Subscribe" button link to ensure they receive notifications of any changes to CDC-RFATS20-2001. Applicants also must provide an e-mail address to www.grants.gov to receive
notifications of changes.
A. Federal Agency Name:
Agency for Toxic Substances and Disease Registry (ATSDR)
B. Notice of Funding Opportunity (NOFO) Title:
ATSDR's Partnership to Promote Local Efforts To Reduce Environmental Exposure
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-TS20-2001
E. Assistance Listings (CFDA) Number:
93.136
F. Dates:
1. Due Date for Letter of Intent (LOI):
11/01/2019
Is a LOI:
Recommended but not Required
2. Due Date for Applications:
12/15/2019, 11:59 p.m. U.S. Eastern
Standard Time, at www.grants.gov.
3. Date for Informational Conference Call:
09/18/2019
Call-in details for the Informational Conference Call will be posted to https://www.atsdr.cdc
.gov/states/ no later than September 11, 2019. This website will be updated periodically with
additional information and/or materials.
G. Executive Summary:
1. Summary Paragraph:
The Agency for Toxic Substances and Disease Registry’s (ATSDR’s) Partnership to Promote
Local Efforts to Reduce Environmental Exposure (APPLETREE) Program is critical to
ATSDR’s success in accomplishing its mission in communities nationwide. ATSDR’s
recipients will use APPLETREE funding to advance ATSDR’s primary goal of keeping
communities safe from harmful environmental exposures and related diseases. APPLETREE
gives recipients the resources to build their capacity to assess and respond to site-specific issues
involving human exposure to hazardous substances in the environment. APPLETREE helps
recipients identify exposure pathways at specific sites; educate affected communities about site
contamination and potential health effects; make recommendations to prevent exposure; review
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health outcome data to evaluate potential links between site contaminants and community health
outcomes. APPLETREE facilitates the implementation of state-level programs to ensure that
potential early care and education facilities are located in areas free from harmful environmental
exposures. It also encourages recipients in the innovation of public health interventions that
prevent exposures to environmental contamination. Because of APPLETREE recipients’ local
connections and partnerships, community engagement and implementation of public health
recommendations by the recipient through the health assessment process is improved.
a. Eligible Applicants:
b. NOFO Type:
c. Approximate Number of Awards:
Open Competition
Cooperative Agreement
25
Component 1: 25
Component 2: 5 - 10
d. Total Period of Performance Funding:
$41,250,000
e. Average One Year Award Amount:
$550,000
This announcement contains two separate components. Applicants must submit an application
for Component 1: Core Activities and may apply for Component 2: Capacity Development and
Applied Prevention Science; however, applicants must be approved with a minimum score of 60
and funded for Component 1 to be eligible for Component 2.
Component 1: $450,000
Component 2: $100,000 - $300,000
f. Number of Years of Award:
3
g. Estimated Award Date:
04/01/2020
h. Cost Sharing and / or Matching Requirements: N
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.
Part II. Full Text
A. Funding Opportunity Description
1. Background
a. Overview
In 1980, Congress created the Agency for Toxic Substances and Disease Registry (ATSDR) to
implement the health-related sections of laws that protect the public from hazardous wastes and
environmental spills of hazardous substances. The Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA), commonly known as the "Superfund"
Act, provided the Congressional mandate to remove or clean up abandoned and inactive
hazardous waste sites and to provide federal assistance in toxic emergencies. As the lead
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Agency within the Public Health Service for implementing the health-related provisions of
CERCLA, ATSDR is charged to assess the presence and nature of health hazards at specific
Superfund sites, to help prevent or reduce further exposure and the illnesses that result from
such exposures, and to expand the knowledge base about health effects from exposure to
hazardous substances.
In 1984, amendments to the Resource Conservation and Recovery Act of 1976 (RCRA)
authorized ATSDR to conduct public health assessments (PHAs) at these sites. ATSDR was
also authorized to assist the United States (U.S.) Environmental Protection Agency (EPA) in
determining which substances should be regulated and the levels at which substances may pose
a threat to human health. With the passage of the Superfund Amendments and Reauthorization
Act (SARA), ATSDR received additional responsibilities in environmental public health. This
act broadened ATSDR's responsibilities in the areas of PHAs, establishment and maintenance of
toxicological databases, information dissemination, and medical education.
This NOFO builds on ATSDR’s increased integration of prevention based efforts. In 2017,
ATSDR launched the Choose Safe Places for Early Care and Education (CSPECE) effort with
CDC-RFA-TS17-1701, to prevent harmful exposures among children before they occur. Newly
licensed ECE programs might inadvertently open in places where children and staff could be
exposed to environmental contamination. CSPECE helps prevent new ECE locations being sited
in potentially harmful locations through licensing landscape assessment, partnership building,
data gathering, screening, education, and response actions. Several state programs have
demonstrated CSPECE is effective at preventing ECEs from being located at sites that risk
exposure to environmental contamination, and further evidence-base has been built through
pilot programs. This NOFO builds on previous efforts of developing CSPECE programs where
there were none, and expanding existing programs.
In 2019, ATSDR’s Office of Capacity Development and Applied Prevention Science
established the priority to build capabilities by translating science into tools and actions that
individuals, communities, and organizations apply to identify, reduce, or prevent health effects
from exposures to hazardous substances. Under CDC-RFA-TS17-1701, ATSDR discovered that
innovative, non-site-specific activities were already occurring informally in states. This NOFO
seeks to formalize and evaluate these activities to contribute to ATSDR’s capacity and
prevention mission. Such efforts can increase the efficiency of activities and expand reach to
more communities, thereby increasing public health impact.
The primary purposes of this NOFO are to: 1) Decrease or eliminate exposures to hazardous
substances through site-related health assessments and 2) Prevent exposures to hazardous
substances through proactive programs that inform knowledge, behavior, process, and policy
changes through dissemination of best practices.
This NOFO has one required component, Component 1, consisting of public health assessment,
community engagement, and CSPECE activities, as well as an optional component, Component
2, which is focused on capacity building and prevention-based interventions. Both components
are described in detail below.
b. Statutory Authorities
This program is authorized under Section 104(i)(15) of the Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) of 1980, as amended by the Superfund
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Amendments and Reauthorization Act (SARA) of 1986 [42 U.S.C. §9604(i)(15)].
c. Healthy People 2030
This cooperative agreement addresses components of the “Healthy People 2020” focus area of
Environmental Health
(http://www.healthypeople.gov/2020/topicsobjectives2020/overview.aspx?topicid=12).
d. Other National Public Health Priorities and Strategies
In addition to addressing the Healthy People 2020 focus area, the purpose and goals of the
funding are consistent with the mission of ATSDR to serve the public by using the best science,
taking responsive public health actions, and providing trusted health information to prevent
harmful exposures and disease related to toxic substances (http://www.atsdr.cdc.gov/).
Program outcomes will be aligned with one (or more) of the following performance goal(s) for
the National Center for Environmental Health (NCEH)/ATSDR:
Protect the public from environmental hazards and toxic exposures; prevent adverse
health outcomes associated with exposure to environmental hazards
Promote healthy environments;
Advance the science of environmental public health;
Support environmental public health practice;
Educate communities, partners, and policy makers about environmental health risks and
protective measures;
Promote environmental justice and reduce health disparities associated with
environmental exposures; and
Provide unique scientific and technical expertise to advance public health science and
practice.
e. Relevant Work
Under TS17-1701 APPLETREE, ATSDR included a new prevention strategy, Choose Safe
Places for Early Care and Education (CSPECE), in which state health departments are
developing pilot programs in their state for safe siting of child care facilities. This new funding
cycle builds off of ATSDR’s past program activities and state health department successes and
innovations to implement additional activities that contribute to preventing environmental
exposures.
2. CDC Project Description
a. Approach
Bold indicates period of performance outcome.
Component 1: Core Activities
Strategies and Activities Short-Term Outcomes
Intermediate Outcomes Long-Term
Outcomes
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Strategy A) Site Assessment and Community/Stakeholder Engagement
Conduct site-specific
assessments that
evaluate possible harm
to the public’s health.
Decreased,
eliminated, or
prevented
exposures to
hazardous
chemicals.
Timely dissemination of Increased
site-specific findings to
implementation of
partners, stakeholders,
recipient
and community members. recommendations to
reduce, eliminate, or
prevent exposures by
Identify, develop and
Increased partner buy-in regulatory agencies,
maintain partner and
and acceptance of
and/or individuals.
stakeholder relationships recommendations.
to support activities.
Decreased,
Increased actions by
eliminated, or
Increased community,
community members to prevented
Educate community,
stakeholder, and health
protect themselves
exposure-related
stakeholders, and health professional knowledge of from site-related
health effects.
professionals on sitesite-related risks and
hazards.
related risks and
recommendations
recommendations.
Decreased or
eliminated site-related
exposures.
Increased
collection of
Strategy B) Choose Safe Places for Early Care and Education
evidence on
(CSPECE), for programs NOT previously funded under TS17-1701
effective
Define childcare
Buy in and support from Increased stakeholder practices,
policies, and
landscape
broad array of partners. practices to reduce
hazardous exposure processes for
preventing
among children.
exposure.
Assess needs
Increased
stakeholder/partner
knowledge of ECE siting Increased process,
Form partnerships to
systems, and policy
issues and
support program
changes to support
recommendations to
Increased
development and
exposure prevention. capacity of
prevent exposure.
implementation
individuals,
communities, and
Increased understanding Increased
organization to
Create strategic program of barriers and
understanding of
identify, reduce,
plan
facilitators for safe siting. actions to enhance
and eliminate
and/or expand program. exposure.
Pilot and systematically
evaluate plan
Strategy B) Choose Safe Places for Early Care and Education
(CSPECE), for programs previously funded under TS17-1701
Established
infrastructure and
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Enhance and/or expand Enhanced and/or
program using pilot
expanded CSPECE
evaluation results
programs.
Improved efficiency
and quality of
programs.
Educate target
populations about
choosing safe ECE
locations and
environmental risks
Increased stakeholder
practices to prevent
hazardous exposure
among children.
Increased stakeholder
/partner knowledge of
ECE siting issues and
recommendations to
prevent exposure.
Engage and maintain
Increased partner
multi-sector partnerships commitment to CSPECE
program.
Screen ECEs for
environmental hazards
Respond to screening
results
capacity for
sustainability of
programs.
Increased systems and
policy changes to
support exposure
prevention.
Enhanced infrastructure Increased practices of
among partners to sustain partners to manage
CSPECE program.
CSPECE program
independently.
Implement process,
systems, or policy
changes
Create a sustainability
plan
Component 2: Capacity Development and Applied Prevention Science
Build local and state
Increased knowledge
capabilities to identify, among target audience to
reduce, or prevent health identify, reduce, or
effects from exposures prevent health effects
to hazardous substances. from exposure to
hazardous substances.
Increased actions
Increased
among target
capacity of
audience to identify, individuals,
reduce, or prevent
communities, and
health effects from
organization to
exposure to hazardous identify, reduce,
substances.
and eliminate
exposure.
Established
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infrastructure and
capacity for
sustainability of
programs.
i. Purpose
The purpose of this program is to increase recipient capacity to: 1) identify pathways of
human exposure to hazardous substances in the environment, 2) implement and sustain
ATSDR’s Choose Safe Places for Early Care and Education (CSPECE) program in the
recipient’s jurisdiction, and 3) innovate proactive strategies to prevent harmful exposures from
occurring.
ii. Outcomes
Programs are expected to demonstrate measurable progress in short-, intermediate-, and longterm outcomes listed in bold on the logic model. Expected program outcomes listed below are
required for Component 1, and are required for Component 2 only if the applicant is awarded
for Component 2.
Short-Term Outcomes:
Timely dissemination of site-specific findings to partners, stakeholders, and community
members. (Component 1: Strategy A)
1.2 Increased partner buy-in and acceptance of recommendations. (Component 1:
Strategy A)
1.3 Buy in and support from broad array of partners. (Component 1: Strategy B, NOT
funded under TS17-1701)
1.4 Increased stakeholder/partners knowledge of ECE siting issues and
recommendations to prevent exposure. (Component 1: Strategy B, NOT funded under
TS17-1701)
1.5 Increased understanding of barriers and facilitators for safe siting. (Component 1:
Strategy B, NOT funded under TS17-1701)
1.6 Enhanced and/or expanded CSPECE programs. (Component 1: Strategy B, funded
under TS17-1701)
1.7 Increased stakeholder /partner knowledge of ECE siting issues and recommendations
to prevent exposure. (Component 1: Strategy B, funded under TS17-1701)
1.8 Enhanced infrastructure among partners to sustain CSPECE program. (Component
1: Strategy B, funded under TS17-1701)
1.9 Increased knowledge among target audience to identify, reduce, or prevent health
effects from exposure to hazardous substances. (Component 2)
Intermediate Outcomes:
2.1 Increased implementation of recommendations by regulatory agencies, policy
makers, and/or individuals. (Component 1: Strategy A)
2.2 Decreased or eliminated site-related exposures. (Component 1: Strategy A)
2.3 Increased stakeholder practices to reduce hazardous exposure among children.
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(Component 1: Strategy B, NOT funded under TS17-1701)
2.4 Increased process, systems, and policy changes to support prevented exposures.
(Component 1: Strategy B, NOT funded under TS17-1701)
2.5 Increased stakeholder practices to prevent hazardous exposure among children.
(Component 1: Strategy B, funded under TS17-1701)
2.6 Increased systems and policy changes to support prevented exposures. (Component
1: Strategy B, funded under TS17-1701)
2.7 Increased practices of partners to manage CSPECE program independently.
(Component 1: Strategy B, funded under TS17-1701)
2.8 Increased actions among target audience to identify, reduce, or prevent health effects
from exposure to hazardous substances. (Component 2)
Long-Term Outcomes:
3.1 Decreased, eliminated, or prevented exposures to hazardous chemicals. (Component
1: Strategies A, B, and Component 2)
3.2 Improved evidence base on effective practices, policies, and processes for preventing
exposure. (Component 1: Strategy B, and Component 2)
iii. Strategies and Activities
COMPONENT 1: Core Activities (required)
The Core Activities Component of the program supports two strategies: (A) Site Assessment
and Community/Stakeholder Engagement, or “Strategy A”; and (B) Choose Safe Places for
Early Care and Education (CSPECE), or “Strategy B”. Applicants are required to propose
activities under BOTH Strategies in this Component.
Strategy A (required): Site Assessment and Community/Stakeholder Engagement
1. Conduct site-specific health assessments and provide recommendations to prevent, reduce,
or eliminate harmful exposures. In order to achieve the outcomes listed above, recipients must
conduct environmental health assessment activities at National Priorities List (NPL) sites,
petition sites, Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS) or other state-identified sites, RCRA sites, Brownfields and
other redevelopment sites, and facilities or releases within the recipient’s jurisdiction.
Environmental health assessment reports are focused responses to a specific question or specific
request for information about health risks posed by a specific site, chemical release, hazardous
material, or emergency response actions. Recipients must conduct environmental health
assessments in a public health assessment/health consultation/exposure investigation/technical
assistance format, and appropriate health education activities at sites on their annual work plan.
Environmental health assessments shall include environmental data, demographic
characterizations, health status indicators, community health concerns, and health outcome data
reviews. Recipients should prioritize work at NPL sites, petition sites, sites of greatest
public health significance, and sites deemed a priority by ATSDR. In the assessment of
hazardous exposures, recipients are required to follow ATSDR policy and guidance,
including, but not limited to, the ATSDR Public Health Assessment Guidance Manual.
Additionally, recipients are required to utilize ATSDR’s Public Health Assessment
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Screening Tool (PHAST) which contains ATSDR’s health-based comparison values (CVs)
and health guidelines in all documents in which specific exposures are evaluated. Statederived comparison values may be used if they are more conservative, or more protective
of public health.
Recipients will respond promptly to ATSDR’s requests for information about the program,
including information needed for congressional inquiries/testimony, program evaluation, and
other reporting.
ATSDR periodically receives petitions from community members which request that ATSDR
investigate a particular site. Recipients will provide any available data to assist ATSDR in
deciding how to respond to petitions. Recipients will review existing information including
environmental data pertaining to a site or release identified in a petition. Recipients are expected
to conduct public health assessment activities (in consultation with ATSDR) at ATSDRaccepted petition sites.
Exposure Investigations (EIs) may be conducted as part of the public health assessment process
to fill data gaps and better define site-specific human exposures. EIs may include the collection
of environmental and biological data. EIs require approval from ATSDR’s Technical Project
Team and EI Program staff. For the purposes of this program, EIs must also be designated “nonresearch” by the state or ATSDR human research subject’s protection official. Recipients are
encouraged to work with state environmental labs when conducting exposure investigations.
2. Educate community, stakeholders, and health professionals on site-specific environmental
exposures and risk to human health. Health education activities should focus on ensuring that
community members understand findings of health assessments and where applicable, adopt
behavioral changes that will prevent and reduce exposure to hazardous chemicals. Applicants
are expected to ensure that all prepared health education and community involvement materials
are accessible and inclusive of people with disabilities. Health education materials to healthcare
providers should focus on ensuring that environmental exposure-related etiology is considered
in patient care. Recipients are required to participate in local, state, and federal health and
environmental workshops and community meetings to discuss and respond to questions
concerning a particular site’s impact on public health. Recipients are expected to consider
conducting SoilSHOPs, as appropriate, as part of their health education efforts in communities
where lead in soil is a potential health concern. SoilSHOPs are described here: https://www
.atsdr.cdc.gov/soilshop/index.html.
3. Identify, develop, and maintain partner and stakeholder relationships to support these
activities. Details of expected collaborative efforts are outlined in Collaborations section,
below.
Major Activities
Recommended Sub-Activities
Activities specified
within the logic
model to support
overall strategy
Below ATSDR has listed some recommended sub-activities applicants
may engage in to advance strategies. Some sub-activities are standard
practices for an activity, but many are not required and only suggestions.
Applicants may propose actions that are not listed below if they advance
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the strategy and make progress toward achieving logic model outcomes.
Evidence should be provided to justify how actions support the overall
strategy.
Conduct site-specific Develop Annual Plan of Work based on state landscape of National
Priorities List (NPL) sites, petition sites, Comprehensive Environmental
assessments that
determine harm to Response, Compensation, and Liability Information System (CERCLIS)
the public’s health or other state-identified sites, RCRA sites, Brownfields and other
redevelopment sites, and facilities or releases within the recipient’s
jurisdiction.
Work with Technical Project Officers to prioritize sites. Recipients
should prioritize work at NPL sites, petition sites, sites of greatest public
health significance as identified by ATSDR, and sites deemed a priority
by ATSDR.
Identify/assess site needs and match needs to a plan of activities.
Evaluate exposure pathways.
Evaluate exposures and human health effects.
Identify appropriate interventions or recommendations, and follow-up on
all recommendations provided to policy makers, regulatory agencies, and
individuals whose actions impact multiple community members, within
one year of provision.
Engage in capacity building opportunities to improve quality and
efficiency, such as participating in relevant training and skill building
opportunities
Participate in peer review network for health assessments with other
Cooperative Agreement Partners
Identify, develop,
and maintain
partner and
stakeholder
relationships to
support activities.
Identify relevant environmental, regulatory, policy, and other partners to
support and advance activities.
Foster commitment with partners to support activities
Proactively engage in consistent communication to maintain and
strengthen partnerships.
Engage in collaborative activities with partners that meet common goals.
Educate community, Assess community site-specific education needs and applicable
stakeholders, and
educational strategies to meet needs.
health professionals
on site-related risks Participate in local, state, and federal health and environmental
workshops and community meetings to discuss and respond to questions
and
concerning a particular site’s impact on public health.
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recommendations.
Provide other direct education concerning a particular site’s impact on
public health (e.g. one-on-one or group education such as phone calls,
emails, Community Advisory Group meetings, web-based or conference
call education, site visits, or other education involving direct instruction).
Create and provide indirect educational materials through outlets such as
paper material distribution (e.g. flyers, brochures, fact sheets), web-based
material distribution (e.g. blog posts, social media, webpage posts), or
television, radio, or newspaper.
Utilize ATSDR’s Communication Toolkit (https://www.atsdr.cdc.gov
/communications-toolkit/index.html) to promote evidence-based
communication strategies.
Host soilSHOPs when lead in soil is a potential health concern.
Respond to written or verbal requests for environmental public health
technical and/or educational information and document response in a
written form. Technical assistance should not draw a public health
conclusion or comment on another entity’s health conclusion.
Strategy B (required): Choose Safe Places for Early Care and Education (CSPECE)
Applicants must select either 1 or 2 and must clearly indicate in their application which option
they are choosing.
1. For programs previously funded under TS17-1701:
Building upon pilot programs developed under the previous cooperative agreement, provide a 3year plan for full-scale implementation and long-term sustainability. In this plan, applicants are
expected to describe what activities they intend to implement based on evaluation results from
the pilot year, including activities such as screening, education, response actions, process or
policy change, and any other innovative activities that support the goals of CSPECE. Applicants
should also include a sustainability section in their plan that describes how states will maintain
their program long-term, including key partnerships with roles and commitments, infrastructure
and resources, capacity building activities, and potential adaptations or changes. The plan
should include year 1, year 2, and year 3 measureable milestones to achieve full integration of
the CSPECE program. By the end of the period of performance, recipients should be able to
provide MOUs, MOAs, or letters of support from appropriate stakeholders and entities
indicating long-term commitment to CSPECE.
2. For programs NOT previously funded under TS17-1701:
Recipients will participate in ATSDR’s CSPECE program. This participation shall include
determining a systematic way to work with child care licensing authorities to evaluate
prospective child care locations. These activities shall be conducted with ATSDR training and
guidance in stages throughout the three year award period.
March 2020-December 2020: Define the landscape for safe siting of child care centers
within the applicant’s boundaries and form partnerships, including non-federal advisory
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committees.
January 2021-December 2021: Develop a program plan for safe siting of child care
centers that includes operation, training, data, and evaluation needs, as well as roles and
responsibilities.
January 2022-December 2022: Implement a pilot program that tests the feasibility and
scalability of the program plan. Collect applicable evaluation data throughout pilot
process.
January 2023-March 2023: Complete evaluation of pilot program.
Major Activities
Recommended Sub-Activities
Activities specified
within the logic
model to support
overall strategy
Below ATSDR has listed some recommended sub-activities applicants
may engaged in to advance strategies. Some sub-activities are standard
practices for an activity, but many are not required and only suggestions.
Applicants may propose actions that are not listed below if they advanced
the strategy and make progress toward achieving logic model outcomes.
Evidence should be provided to justify how actions support the overall
strategy.
Define childcare
landscape
Quantify Early Care and Education (ECE) programs and populations in
the state.
Identify state ECE licensing process and policies.
Identify state intersection of ECE licensing and environmental health.
Identify governmental and non-governmental stakeholders of ECE
licensing programs and how they could be involved in ECE licensing.
Identify data sources that could be used to foster a CSPECE program.
Assess needs
Based on defined childcare landscape, determine gaps and needs.
Form partnerships to Identify relevant childcare, licensing, environmental, health, academic,
support program
zoning, planning, non-governmental, and other partners to support and
development and
advance activities.
implementation
Foster commitment with partners to support activities.
Proactively engage in consistent communication to maintain and
strengthen partnerships.
Engage in collaborative activities with partners that meet common goals.
Engage in activities that foster sustainability such as building partner
capacity.
Create strategic
program plan
Establish overall goals and SMART goals for your program.
Describe how the state program will operate.
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Describe education and training the program will conduct.
Describe the data and processes the program will use to identify proposed
ECEs that have potential harmful environmental exposure.
Describe partnerships the program will support.
Describe data the program will collect.
Describe how the program will be evaluated.
Pilot and
systematically
evaluate plan
Implement pilot plan.
Based on evaluation plan, evaluate and report pilot results.
COMPONENT 2: Capacity Development and Applied Prevention Science (optional)
ATSDR’s Office of Capacity Development and Applied Prevention Science builds capabilities
by translating science into tools and actions that individuals, communities, and organizations
apply to identify, reduce, or prevent health effects from exposures to hazardous substances.
Proposals made under this Component should promote the OCDAPS mission. Proposals should
address one, or more, of the following Focus Areas:
1. Development of best practices, tools, and innovative strategies for engaging with
communities, and providing community engagement consultation
2. Informing and promoting integration of environmental health content within academic
programs and environmental medicine practice (e.g., major and minor coursework,
clinical rotations, and primary care residence programs)
3. Identify and cultivate partnerships with academic and professional organizations to
encourage uptake of environmental public health awareness curricula and career tracks
4. Develop community/population intervention initiatives to reduce risk factors associated
with environmental exposures and develop and test metrics that could be used for
evaluation of intervention effectiveness
5. Partner with relevant internal and external stakeholders to incorporate prevention
strategies into existing programs, policies, and practices
1. Collaborations
Applicants are expected to include no fewer than five letters of support dated between July 1,
2019 and December 31, 2019 from environmental regulatory agencies, communities, state
environmental labs, or federal/state/local agencies that detail the applicant’s role and success
with reducing exposure to hazardous chemicals in the environment. These letters should be
saved as one PDF, named "Letters of Support", uploaded into www.grants.gov.
Specific required letters of support, as well as any MOUs or MOAs are further described in subsections a) and b) below.
Applicants must file the MOUs and/or MOAs in one PDF file and name the file “MOUsMOAs”, and upload it at www.grants.gov
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a. With other CDC programs and CDC-funded organizations:
Recipients are required to collaborate with other CDC and ATSDR Cooperative Agreement
and/or Grant programs to identify common needs, promote resource and information sharing to
assure review of documents in order to advance ATSDR goals, and facilitate public health
actions to improve the health of communities. Applicants are required to explain how existing
or potential collaborations with other CDC-funded programs and organizations could assist the
recipient in implementing activities and achieving the NOFO outcomes. The applicant must
obtain information on the following funded programs in their state and explain existing or
potential, areas of collaboration: Pediatric Environmental Health Specialty Units (PEHSU), Safe
Water for Community Health (Safe WATCH), National Environmental Public Health Tracking
Program, ATSDR's PFAS Exposure Assessments and Multi-site Studies, and Childhood Lead
Poisoning Prevention Program. Other relevant CDC funded programs could also be used with
appropriate explanation, including CDC Disability and Health Programs.
A letter of intent from the Secretary/Director or equivalent head of the applicant’s agency
confirming that partnerships exist, or will be developed, across appropriate organizational units
within the agency/department is required to accompany the application. If available, please
provide the cover sheet of any memorandum of understandings/memorandums of agreement
(MOUs/MOAs) that demonstrate existing collaborations.
b. With organizations not funded by CDC:
For site-specific work, recipients are required to collaborate with the U.S. Environmental
Protection Agency, the appropriate state agencies, appropriate local health departments, state
environmental laboratories, and community groups to identify common needs, promote resource
and information sharing to advance ATSDR goals, and facilitate public health actions to
improve the health of communities. If available, please provide the cover sheet of any
MOUs/MOAs that demonstrate existing collaborations.
For non-site specific work and health education, recipients are required to collaborate with
appropriate state agencies, local health departments, non-profit organizations, and community
groups to identify common needs, promote resource and information sharing to advance
ATSDR goals, and facilitate public health actions to improve the health of
communities. Applicants should explain collaborations with other groups that could assist them
in implementing health education activities, such as soilSHOPs and the Brownfields/Land
Reuse Action Model. If available, please provide the cover sheet of any MOUs/MOAs that
demonstrate existing collaborations.
Recipients funded under TS17-1701 should have developed partnerships and relationships with
entities involved in childcare licensing, GIS, children’s environmental health, and others
through CSPECE activities performed under the previous announcement. Applicants for
Strategy B1, should provide letters of support, or the cover sheets of any MOUs/MOAs, that
demonstrate existing collaborations. Additionally, applicants should seek to build both internal
and external partnerships to ensure the sustainability of CSPECE in their jurisdiction beyond
this period of performance.
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2. Target Populations
ATSDR’s mission is to protect communities from harmful health effects from exposure to
hazardous waste and hazardous materials spills. Therefore, the target population for this NOFO
is anyone previously, currently, or potentially exposed to existing or emerging environmental
health threats, particularly sensitive subpopulations including children, the elderly, and people
with disabilities. Children attending early care and education (ECE) facilities, and stakeholders
involved in the licensing, siting, and operation of ECE facilities are specifically targeted in this
NOFO. Additionally, as part of the capacity building strategies described herein, any public
health entity, national organization, academic institution, medical system, or non-profit
organization that potentially plays a part in increasing the capacity of state, local, tribal or
territorial health agencies to respond to, investigate, or prevent harmful exposures could also be
targeted by this NOFO.
a. Health Disparities
Applicants must consider under-served populations such as tribes, people with disabilities, rural
populations, and populations where English is a second language when conducting activities
described in this NOFO.
iv. Funding Strategy (for multi-component NOFOs only)
This announcement contains two separate components. Applicants must submit an application
for the Core Activities Component (Component 1) and may apply for the advanced Capacity
Development and Applied Prevention Sciences component (Component 2); however, applicants
must be approved with a minimum score of 60 points and funded for Component 1 to be
eligible for review and funding under Component 2.
b. Evaluation and Performance Measurement
i. CDC Evaluation and Performance Measurement Strategy
ATSDR requires ongoing evaluation and performance measurement under this NOFO and
expects recipients to maintain sufficient staffing and analytic capacity to meet these
requirements. Program evaluation and performance measurement help demonstrate the
effectiveness of programs, drive continuous program improvement, and contribute to the
evidence-base for each intervention.
ATSDR will assess the degree to which strategies in the logic model have been implemented
and outcomes have been achieved through submitted quantitative and qualitative reporting,
conference calls, site visits, and other communications with recipients. This section will present
example measures that ATSDR will use to track the implementation of strategies and progress
on achieving outcomes. The assessment will occur on an ongoing basis through the evaluation
of submitted products and training and technical assistance delivered. Recipients are expected to
develop an evaluation plan (see the CDC Evaluation and Performance Measurement Strategy
section for more detail), submit an annual progress report, and an additional final project report
at the conclusion of the period of performance summarizing achievements, challenges, lessons
learned, and next steps. Optional templates will be provided to guide the Evaluation and
Performance Measurement Plan development and the final project reporting.
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Targets for performance measures may vary by program and can be established in the 6-month
period following the award. However, all recipients are expected to meet or exceed the
target of completing at least 80% of the activities specified in their work plan each year.
Modifications to the work plan should be discussed with Technical Project Officers and all
changes should be finalized at least 3 months prior to submission of Annual Performance
Reports.
This section presents example measures that ATSDR will use to track the implementation of
strategies and activities (process evaluation) and progress on achieving period-of-performance
outcomes (outcome evaluation). The measures below are not comprehensive or final, and
ATSDR will finalize evaluation and performance measures in collaboration with recipients
within six months of the project start date.
Process Performance Measures
To better understand outcome results, it is important to collect process measures. Evaluating the
implementation of a program in addition to its outcomes helps to show what aspects of a
program are working well and what may require change to achieve the intended impact.
COMPONENT 1:
Strategy
Example Process Performance Measures
A: Site Assessment and ·
Proportion of site-specific assessments completed from workplan
Community/
·
Proportion of requests for technical assists provided a written
Stakeholder
response
Engagement
·
Number of internal and/or external capacity building
opportunities engaged to expedite release of assessments and
educational products
·
Identification of barriers, facilitators, and improvements to the
site assessment process annually
B: Choose Safe Places
for Early Care and
Education, NOT
funded under TS171701
·
Assessment that defines the childcare landscape and identifies
needs
·
Number of partnerships identified to help prevent exposures
·
Choose Safe Places for Early Care and Education pilot plan
B: Choose Safe Places ·
Number of MOUs and/or letters of intent from partners
for Early Care and
demonstrating long-term commitment to program
Education, funded
·
Sustainability plan
under TS17-1701
COMPONENT 2:
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Build local and state
May vary significantly based on proposal, but may generally include:
capabilities to identify,
·
Identification of key implementation barriers, facilitators, and
reduce, or prevent
lessons learned from pilot process
health effects from
exposures to hazardous
substances
Outcome Performance Measures
Short-term Outcomes
1.1 Timely dissemination of sitespecific findings to partners,
stakeholders, and community
members. (Strategy A)
·
Proportion of site-specific assessments disseminated
from workplan within one year from the date adequate data
was received.
1.2 Increased partner buy-in and
acceptance of public health
recommendations made by
recipients. (Strategy A)
·
Percentage of public health recommendations made
by recipients accepted by regulatory agencies or policy
makers within one year
·
Number of health education and/or community
involvement activities completed to disseminate
information to partners, stakeholders, and community
members
1.4 Buy in and support from broad ·
Number of partners indicating commitment to help
array of partners. (Strategy B, NOT prevent exposures
funded under TS17-1701)
1.5 Increased stakeholder/partners ·
Number of stakeholders/partners reached through
knowledge of ECE siting issues and direct education (duplicated counts acceptable)
public health recommendations
·
Percentage of stakeholders/partners indicating
made by recipients to prevent
understanding public health recommendations made by
exposure. (Strategy B, NOT funded recipients to prevent exposure at ECEs
under TS17-1701)
1.6 Increased understanding of
barriers and facilitators for safe
siting. (Strategy B, NOT funded
under TS17-1701)
·
Written interpretation of barriers and facilitators for
safe siting
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1.7 Enhanced and/or expanded
CSPECE programs. (Strategy B,
funded under TS17-1701)
·
Execution of enhanced and/or expanded CSPECE
program
1.8 Increased stakeholder /partner ·
Number of MOUs and/or letters of intent from
knowledge of ECE siting issues and partners demonstrating commitment to program annually
public health recommendations
made by recipients to prevent
exposure. (Strategy B, funded
under TS17-1701)
1.9 Enhanced infrastructure among ·
Number of resources/tools provided to partners
partners to sustain CSPECE
·
Percentage of partners indicating increased
program. (Strategy B, funded under
knowledge, skills, and abilities around CSPECE concepts
TS17-1701)
1.10 Increased knowledge among
target audience to identify, reduce,
or prevent health effects from
exposure to hazardous substances.
(Component 2)
·
Percentage of target audience (educational target
audience may vary and include inspectors, zoning and
planner officials, providers, and other ECE stakeholders)
indicating increased knowledge to identify, reduce, or
prevent health effects from exposure to hazardous
substances
Intermediate-Term Outcomes:
2.1 Increased implementation by
regulatory agencies, and/or
individuals of public health
recommendations made by
recipients. (Strategy A)
·
Percentage of public health recommendations made
by recipients implemented by regulatory agencies within
one year
2.2 Decreased or eliminated siterelated exposures. (Strategy A)
·
Percentage of sites with decreased or eliminated
exposures based on public health recommendations made
by recipients implemented by regulatory agencies or policy
makers within the period of performance
2.3 Increased stakeholder practices ·
Percentage of ECE programs referred to the program
to reduce hazardous exposure
that make changes because of identified issues
among children. (Strategy B, NOT
funded under TS17-1701)
2.4 Implemented process, systems, ·
Number of policy, systems, environment changes to
and policy changes to support
support prevented exposures
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prevented exposures. (Strategy B,
NOT funded under TS17-1701)
2.5 Increased stakeholder practices ·
Percentage of ECE programs referred to the program
to prevent hazardous exposure
that make changes because of identified issues
among children. (Strategy B,
funded under TS17-1701)
2.6 Implemented systems and
policy changes to support
prevented exposures. (Strategy B,
funded under TS17-1701)
·
Number of policy, systems, environment to support
prevented exposures
2.7 Increased practices of partners ·
Percentage of partners that are actively engaging in
to manage CSPECE program
behaviors to manage their respective component of the
independently. (Strategy B, funded CSPECE program independently
under TS17-1701)
2.8 Increased actions among target Will vary based on applicant proposals.
audience to identify, reduce, or
prevent health effects from
exposure to hazardous substances.
(Component 2)
Long-Term Outcomes
3.1 Decreased, eliminated, or
·
Percentage of sites with decreased or eliminated
prevented exposures to hazardous exposures based on public health recommendations made
chemicals. (Strategies A, B, and C) by recipients implemented by regulatory agencies or policy
makers within the period of performance
·
Number of individuals protected at sites in which
public health recommendations made by recipients are
implemented by regulatory agencies or policy makers
within the period of performance
3.2. Increased collection of
evidence on effective practices,
policies, and processes for
preventing exposure.
·
Description of effective practices, policies, and
processes for preventing exposure.
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Many performance measures will be available through required data collection forms, or
equivalent collection processes, including:
Site Impact Assessment (SIA): Required to complete SIA submission for each health
assessment (Public Health Assessment, Health Consultation, Letter Health Consultation)
Health Education Activity Tracking (HEAT): Required to complete for indirect and
direct educational activities. It is suggested to submit entries on a quarterly basis.
Technical Assist (TA): Required to complete for each TA. It is suggested to submit
entries on a quarterly basis.
Success stories: Required to complete one per quarter.
soilSHOP: Required to complete soilSHOP reporting for each soilSHOP held each year.
Annual Performance Report: Required per CDC; recipients will be notified by CDC
with directions and due dates annually.
Final Performance Report: Required to complete at the end of the period of
performance.
Quantitative and qualitative data (including all required quantitative metrics, success stories,
and narrative reports) may be used without prior notification to produce summary reports,
reports on project accomplishments, fact sheets, and other monitoring and evaluation reports.
Findings may be reported at national conferences, online, in peer-reviewed journals, and in
other public forums independently by ATSDR (for aggregate data), or in collaboration with
recipients where site-specific data are to be presented. ATSDR will finalize evaluation and
performance measures in collaboration with recipients within six months of the project start
date.
ii. Applicant Evaluation and Performance Measurement Plan
Applicants must provide an evaluation and performance measurement plan that demonstrates
how the recipient will fulfill the requirements described in the CDC Evaluation and
Performance Measurement and Project Description sections of this NOFO. At a minimum, the
plan must describe:
How applicant will collect the performance measures, respond to the evaluation
questions, and use evaluation findings for continuous program quality improvement.
How key program partners will participate in the evaluation and performance
measurement planning processes.
Available data sources, feasibility of collecting appropriate evaluation and performance
data, and other relevant data information (e.g., performance measures proposed by the
applicant)
Plans for updating the Data Management Plan (DMP), if applicable, for accuracy
throughout the lifecycle of the project. The DMP should provide a description of the
data that will be produced using these NOFO funds; access to data; data standards
ensuring released data have documentation describing methods of collection, what the
data represent, and data limitations; and archival and long-term data preservation plans.
For more information about CDC’s policy on the DMP, see
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https://www.cdc.gov/grants/additionalrequirements/ar-25.html.
Where the applicant chooses to, or is expected to, take on specific evaluation studies, they
should be directed to:
Describe the type of evaluations (i.e., process, outcome, or both).
Describe key evaluation questions to be addressed by these evaluations.
Describe other information (e.g., measures, data sources).
Recipients will be required to submit a more detailed Evaluation and Performance Measurement
plan, including a DMP, if applicable, within the first 6 months of award, as described in the
Reporting Section of this NOFO.
Applicants must provide an Evaluation and Performance Measurement Plan (EPMP) that is
consistent with the CDC Evaluation and Performance Measurement Strategy and Project
Description sections of this NOFO. Data collected must be used for ongoing monitoring of
activities to evaluate effectiveness and contribute to continuous program improvement. All
recipients must develop a draft Evaluation and Performance Measurement Plan for all strategies
in the application. Applicants should provide a description of performance measurement and
evaluation qualifications and experience for staff responsible for evaluation activities (i.e.
education, training, and/or relevant practical experience).
The Evaluation and Performance Measurement 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
Describe the type of evaluation, key evaluation questions, indicators, and data sources
Recipients will be required to submit a more detailed Evaluation and Performance Measurement
Plan within the first six months of award. Applicants are encouraged to use the CDC Evaluation
Framework (https://www.cdc.gov/eval/framework/index.htm) to assist in developing their plan.
This more detailed plan should be developed by the recipient with support from ATSDR within
the first six months of award as part of first year activities and should build on the elements in
the initial evaluation plan described in this proposal. The more detailed plan should:
Be no more than 10 pages, excluding tables and diagrams
Be organized around Strategies A (required), B (required), and C (optional)
Specify performance measures, how applicant will collect measures (methods), and
where applicant will obtain measures (data source)
Describe the type of evaluation(s) to be conducted (i.e. process, outcome, or both)
Describe how key program partners will participant in the evaluation and performance
measurement planning process
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Describe the key evaluation questions to be addressed by the evaluation(s)
Describe indicators and data sources
Describe the availability and feasibility of collecting evaluation and performance
measurement data
Describe how evaluation findings will be used, including how findings will be used for
continuous program quality improvement
Describe dissemination channels and audiences for performance measure and evaluation
findings.
Affirm ability to collect performance measures and respond to evaluation questions.
Applicants are encouraged, but are not required, to use the ATSDR Evaluation and Performance
Measurement Plan template and guidance available in the Application Kit.
Recipients are encouraged to participate in any trainings and webinars offered by ATSDR on
program evaluation and consult with ATSDR’s evaluator in the first six months of the award to
prepare to submit their more detailed Evaluation and Performance Measurement Plan.
c. Organizational Capacity of Recipients to Implement the Approach
Applicants must fully demonstrate sufficient existing or planned staff capacity to accomplish
the goals and objectives of this program. Specifically, applicants should demonstrate their
qualifications, experience, and ability to:
Develop and maintain an integrated health team consisting of, at a minimum, a health
scientist/toxicologist, and either a health educator or community involvement specialist.
Identify the public health needs at each site based on completed exposure pathways or
other identified public health issues.
Evaluate pathways of exposure to environmental contaminants; assess public health
implications of these exposures; identify, coordinate, and implement appropriate public
interventions to reduce exposures; and educate health professionals and communities.
Work collaboratively with communities, local, state, and federal agencies, and national
organizations to respond to specific public health issues related to harmful
environmental exposures to hazardous substances, including the safe siting of ECE
facilities in the applicant’s jurisdiction.
Applicants should demonstrate how existing or planned staffing resources will be leveraged to
achieve outcomes associated with these activities. While Component 1, Strategy A activities
should be prioritized, applicants are encouraged to balance the need for scientific staff against
the need for programmatic and evaluation staff resources and adjust their budget request
accordingly. It is acceptable and encouraged for applicants to demonstrate required expertise
through in-kind support, contracts, or external partnerships. Applicants should include
information about any contractual organization(s) that will have a significant role(s) in
implementing program strategies and achieving project outcomes. They should specify who
would have day-to-day responsibility for key tasks such as: leadership of project; monitoring
the project’s on-going progress; preparation of reports; program evaluation; and communication
with other partners and ATSDR; qualifications, experience, leadership ability, description of
how staff will be used to accomplish the work, and percentage of time the project staff will
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commit to the project.
The organizational capacity statement should describe how the applicant agency (or the
particular division of a larger agency with responsibility for this project) is organized, the nature
and scope of its work and/or the capabilities it possesses. Applicants may include a detailed
description of the entity’s experience, program management components, the entity’s readiness
to establish contracts in a timely manner, and a plan for long-term sustainability of the project.
The applicant should indicate the extent to which their organizational leadership supports, and
garners support for, long-term commitment to the activities in Component 1: Strategies A & B.
The statement should also describe the applicant’s capability to carry out the proposed project,
suitability of facilities, equipment available or to be purchased for the project, and ability to
develop an integrated program focusing on coordinating site activities with stakeholders such as
EPA, tribal governments, state and local health and environmental offices and agencies, and
communities, etc.
Supporting information should be included in the application appendices and labeled as separate
appendices (i.e., curriculum vitae, letters of support, etc.). The appendices will not be counted
toward the narrative page limit. This additional information includes the following:
CVs/Resumes
Indirect Cost Rate Agreements
Organizational Charts
Letters of Support (see Collaborations section)
Applicants must name this file “CVs/Resumes” or “Organizational Charts” and upload it
at www.grants.gov.
d. Work Plan
The work plan integrates and delineates more specifically how the recipient plans to carry out
achieving the period of performance outcomes, strategies and activities, and evaluation and
performance measurement. Applicants are required to provide a work plan that provides both a
high-level overview of the entire 3-year period of performance (for Strategies A & B) and a
detailed description of the first year of the award. If funded, ATSDR will provide feedback and
technical assistance to help finalize the work plan post-award.
The high-level 3-year work plan should include a table for each Strategy (or individual activity
under Component 2) with the following columns and headings:
Component 1:
Strategy A
Activity
Description
Related
Performance
Person(s)
output(s) from measure (from responsible
logic model Evaluation and
Performance
Measurement
Plan)
Projected Start Project
Date
Completion
Date
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The work plan should, at a minimum, include:
Specific outcomes for the 12-month period
Description of strategies and activities to be support achieving each outcome
Specific process measure for the strategies and activities
Potential barriers and facilitators to reach each outcome
Approximate timeline for projected start and completion date for each activity
Specific Annual Work Plan Guidance:
COMPONENT 1:
Strategy A1: Each recipient is expected to focus on high-priority sites including ATSDRapproved petition sites, and sites on the Environmental Protection Agency’s (EPA) National
Priorities List (NPL). Other sites of high public health impact, Congressional (State or Federal)
interest, community or media interest, and sites otherwise deemed high-priority by ATSDR
should also receive high priority. Applicants should indicate on their workplan the priority-level
of each Strategy A activity (high, or low) and include justification for this classification. For
certain high-priority sites, ATSDR may choose to “certify” the health assessment or health
consultation document. Certification means that the health assessment or health
consultation will be cleared through ATSDR's internal review and clearance process and
will be released with an ATSDR cover page. The determination whether or not to certify a
document will depend on factors identified by ATSDR. These factors are subject to change
throughout the period of performance and applied as determined by ATSDR for each
recipient. Through the TPT, ATSDR will communicate criteria for certified documents to each
recipient. Certified health assessments and health consultations will be posted to ATSDR’s
website no later than 60 days after final clearance by ATSDR.
Strategy A2: For sites where environmental health assessments are conducted, recipients must
engage the community and assess the needs and resources of the target audience. Recipients are
expected to lead health education and outreach efforts for certified sites unless specified
otherwise by ATSDR.
Effective community involvement activities will incorporate the nine principles outlined in the
CDC/ATSDR Principles of Community Engagement manual. For more information, see the
CDC/ATSDR Committee on Community Engagement (Principles of Community Engagement
1997, Public Health Practice Program Office, Centers for Disease Control and Prevention,
Atlanta, GA); (https://www.atsdr.cdc.gov/communityengagement/). Recipients are expected to
follow the Public Health Assessment Guidance Manual to evaluate sites and involve
communities in the health assessment process. When appropriate, recipients may consider using
additional strategies for engaging communities, including the ATSDR Action Model and the
National Association of County and City Health Officials/CDC Protocol for Assessing Commu
nity Excellence in Environmental Health (PACE EH).
Strategy B1: Applicants who were previously funded under TS17-1701 should provide a
narrative plan on how they anticipate full-scale implementation of their established pilot
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programs. The plan should include strategies, outcomes, year-by-year milestones, and
measureable indicators of success. Activities conducted under this Strategy should culminate in
a fully-supported CSPECE program within the state by the end of year 3.
Strategy B2: Applicants should provide a narrative plan on how they will begin to implement
ATSDR’s Choose Safe Places for Early Care and Education program. This plan shall include
activities to identify to work with child care licensing authorities to evaluate prospective child
care locations, training by the recipient of licensing authorities, and work to evaluate existing
child care locations.
COMPONENT 2:
Applicants must include a detailed workplan for the chosen Focus Area(s) being advanced and
the activities selected. The workplan, at a minimum, should:
Define period-of-performance outcomes and describe strategies and activities to be
conducted to meet each outcome.
Provide the specific process measure for the strategies and activities.
Describe possible barriers to, or facilitators for, reaching each outcome.
Provide a timeline that identifies key activities and assigns approximate dates for
inception and completion.
Describe the multi-sector collaboration that will be formed to assist in carrying out the
proposed activities.
Describe staff and administrative roles and functions to support implementation of the
award, including evaluation functions.
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.
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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.
ATSDR will actively monitor recipient compliance with ATSDR’s policies and procedures
through monthly calls, annual audits and formal assessments - which may include collaboration
with the technical project team (TPT). The TPT includes, subject matter experts, Associate
Directors of Science, Regional Representatives, and the recipient jurisdiction's Project Officer.
ATSDR will require recipients to actively participate in routine TPT conference calls.
ATSDR will monitor how funds are allocated and expended at the recipient level through fiscal
tracking tools and annual budget reviews. Progress toward achieving specific project outputs
and outcomes will also be assessed through annual progress reports.
Based on review of process measures and recipient reporting during project implementation, if a
recipient is not conducting required activities, or failing to adhere to required protocols, ATSDR
will initiate technical and/or capacity building assistance for program improvement. ATSDR
may require additional monitoring or recipient reporting during a defined time frame (up to six
months). Recipients performing at a less than acceptable level beyond the agreed-upon time
frame will be required to work with ATSDR to identify factors negatively affecting
performance, develop a formal action plan for program improvement, and to use that plan to
guide the work until the recipient is meeting performance standards. During such periods, more
extensive and frequent engagement between the recipient and ATSDR is to be expected. In
subsequent budget periods, funding may be contingent on meeting performance
expectations.
f. CDC Program Support to Recipients (THIS SECTION APPLIES ONLY TO
COOPERATIVE AGREEMENTS)
ATSDR Technical Project Officers (TPOs) are substantially involved with APPLETREE
recipients. The TPO will lead a Technical Project Team (TPT) for each recipient, which will
include representatives from the ATSDR Office of Capacity Development and Applied
Prevention Science (OCDAPS), and ATSDR’s Office of Community Health and Hazard
Assessment (OCHHA). The TPT is responsible for providing technical assistance to the
recipient; arranging for subject matter expertise as needed, and assuring the planning,
implementation, and program improvement of all public health actions for each site. The TPT is
responsible for approving each recipient’s work plan. The TPT is also responsible for working
with the recipients to improve their ability to assess and respond to environmental public health
issues through the application of current science and sound public health practices.
The TPT also reviews environmental health assessment reports and community involvement
and health education and promotion plans and materials for technical/scientific accuracy,
comprehensiveness, clarity, and adherence to ATSDR policy. The TPT will monitor and
evaluate the performance of recipients. In addition, ATSDR regional staff are available to
provide support and coordination for recipients, especially for sites with strong community
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interest, or where liaison with EPA is specifically needed.
ATSDR will provide updated guidance on emerging contaminants and will maintain updated
chemical-specific comparison values (CVs) based on the best available science. Additionally,
ATSDR will maintain and make available the Public Health Assessment Site Tool (PHAST),
the ATSDR ShowerModel, other tools, and informational websites. ATSDR will also facilitate
peer-to-peer information sharing through the maintenance of ATSDR’s SharePoint site and
Cooperative Agreement Listserv.
The TPO will facilitate the clearance of certified environmental health assessment reports (via
the current NCEH/ATSDR Policy on Clearance of Information Products) as outlined under
Strategy A2 in the ‘Work Plan’ section above.
B. Award Information
1. Funding Instrument Type:
Cooperative Agreement
CDC's substantial involvement in this
program appears in the CDC Program
Support to Recipients Section.
2. Award Mechanism:
U61
U61 - Preventive Health Activities Regarding Hazardous Substances
3. Fiscal Year:
Estimated Total Funding:
4. Approximate Total Fiscal Year Funding:
2020
$41,250,000
$13,750,000
This amount is subject to the availability of funds.
5. Approximate Period of Performance Funding:
$41,250,000
6. Total Period of Performance Length:
3
7. Expected Number of Awards:
25
Component 1: 25
Component 2: 5 - 10
8. Approximate Average Award:
$550,000 Per Budget Period
This announcement contains two separate components. Applicants must submit an application
for Component 1: Core Activities and may apply for Component 2: Capacity Development and
Applied Prevention Science; however, applicants must be approved with a minimum score of 60
and funded for Component 1 to be eligible for Component 2.
Component 1: $450,000
Component 2: $100,000 - $300,000
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This amount is subject to the availability of funds.
9. Award Ceiling:
$0 Per Project Period
10. Award Floor:
$0 Per Project Period
11. Estimated Award Date:
04/01/2020
Throughout the period of performance, 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
(period of performance) 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).
12. Budget Period Length:
12 month(s)
13. Direct Assistance
Direct Assistance (DA) is not available through this NOFO.
C. Eligibility Information
1. Eligible Applicants
Eligibility Category:
State governments
County governments
City or township governments
Special district governments
Public and State controlled institutions
of higher education
Native American tribal governments
(Federally recognized)
Native American tribal organizations
(other than Federally recognized tribal
governments)
Additional Eligibility Category:
Government Organizations:
State (includes the District of Columbia)
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Local governments or their bona fide
agents
Territorial governments or their bona
fide agents in the Commonwealth of
Puerto Rico, the Virgin Islands, the
Commonwealth of the Northern
Marianna Islands, American Samoa,
Guam, the Federated States of
Micronesia, the Republic of the Marshall
Islands, and the Republic of Palau.
State controlled institutions of higher
education
American Indian or Alaska Native tribal
governments (federally recognized or
state-recognized)
Non-government Organizations:
American Indian or Alaska native
tribally designated organizations
2. Additional Information on Eligibility
Eligibility for funding under this announcement is limited by statute to States, or political
subdivisions thereof.
Public and State-controlled institutions of higher learning must provide documentation from the
state verifying the institution is considered a political subdivision of the state and that it has the
authority to apply for funding and perform the activities required under this announcement.
3. Justification for Less than Maximum Competition
N/A
4. Cost Sharing or Matching
Cost Sharing / Matching Requirement:
No
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. Required Registrations
Additional materials that may be helpful to applicants: http://www.cdc.gov/ od/ pgo/ funding/
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docs/ Financial ReferenceGuide.pdf.
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 subrecipients 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.
Step System
1
Data
Universal
Number
System
(DUNS)
Requirements
Duration
1. Click
1-2 Business Days
on http:// fedgov.dnb.com/
webform
2. Select Begin DUNS
search/request process
3. Select your country or
territory and follow
instructions to obtain your
DUNS 9-digit #
4. Request appropriate staff
member(s) to obtain DUNS
number, verify & update
information under DUNS
number
Follow Up
To confirm that
you have been
issues a new
DUNS number
check online at
(http:// fedgov.dnb.
com/ webform) or
call 1-866-7055711
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2
System for
Award
Management
(SAM)
formerly
Central
Contractor
Registration
(CCR)
1. Retrieve organizations
3-5 Business Days but up
DUNS number
to 2 weeks and must be
renewed once a year
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)
For SAM Customer
Service Contact
https://fsd.gov/fsdgov/home.do
Calls: 866-6068220
3
Grants.gov
1. Set up an individual
Same day but can take 8 Register early! Log
account in Grants.gov using weeks to be fully
into Grants.gov and
organization new DUNS
registered and approved in check AOR status
number to become an
the system (note,
until it shows you
authorized organization
applicants MUST obtain a have been
representative (AOR)
DUNS number and SAM approved
2. Once the Account is set up account before applying
the E_BIZ POC will be
to grants.gov)
notified via email
3. Log into grants.gov using
the password the EBIZ POC received and create
new password
4. This authorizes
the AOR to submit the
applications on behalf of the
organization
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 funding opportunity at www.grants.gov.
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.
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a. Letter of Intent Deadline (must be emailed or postmarked by)
Due Date for Letter of Intent: 11/01/2019
b. Application Deadline
Due Date for Applications: 12/15/2019 , 11:59 p.m. U.S. Eastern Standard Time, at
www.grants.gov. If Grants.gov is inoperable and cannot receive applications, and circumstances
preclude advance notification of an extension, then applications must be submitted by the first
business day on which grants.gov operations resume.
Date for Informational Conference Call:
09/18/2019
Call-in details for the Informational Conference Call will be posted to https://www.atsdr.cdc
.gov/states/ no later than September 11, 2019. This website will be updated periodically with
additional information and/or materials.
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. The risk assessment will
include an evaluation of the applicant’s CDC Risk Questionnaire, located at
https://www.cdc.gov/grants/documents/PPMR-G-CDC-Risk-Questionnaire.pdf, as well as a
review of the applicant’s history in all available systems; including OMB-designated
repositories of government-wide eligibility and financial integrity systems (see 45 CFR
75.205(a)), and other sources of historical information. These systems include, but are not
limited to: FAPIIS (https://www.fapiis.gov/), including past performance on federal contracts as
per Duncan Hunter National Defense Authorization Act of 2009; Do Not Pay list; and System
for Award Management (SAM) exclusions.
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CDC requires all applicants to complete the Risk Questionnaire, OMB Control Number 09201132 annually. This questionnaire, which is located at
https://www.cdc.gov/grants/documents/PPMR-G-CDC-Risk-Questionnaire.pdf, along with
supporting documentation must be submitted with your application by the closing date of the
Notice of Funding Opportunity Announcement. If your organization has completed CDC’s
Risk Questionnaire within the past 12 months of the closing date of this NOFO, then you must
submit a copy of that questionnaire, or submit a letter signed by the authorized organization
representative to include the original submission date, organization’s EIN and DUNS.
When uploading supporting documentation for the Risk Questionnaire into this application
package, clearly label the documents for easy identification of the type of documentation. For
example, a copy of Procurement policy submitted in response to the questionnaire may be
labeled using the following format: Risk Questionnaire Supporting Documents _ Procurement
Policy.
Duplication of Efforts
Applicants are responsible for reporting if this application will result in programmatic,
budgetary, or commitment overlap with another application or award (i.e. grant, cooperative
agreement, or contract) submitted to another funding source in the same fiscal year.
Programmatic overlap occurs when (1) substantially the same project is proposed in more than
one application or is submitted to two or more funding sources for review and funding
consideration or (2) a specific objective and the project design for accomplishing the objective
are the same or closely related in two or more applications or awards, regardless of the funding
source. Budgetary overlap occurs when duplicate or equivalent budgetary items (e.g.,
equipment, salaries) are requested in an application but already are provided by another source.
Commitment overlap occurs when an individual’s time commitment exceeds 100 percent,
whether or not salary support is requested in the application. Overlap, whether programmatic,
budgetary, or commitment of an individual’s effort greater than 100 percent, is not permitted.
Any overlap will be resolved by the CDC with the applicant and the PD/PI prior to award.
Report Submission: The applicant must upload the report in Grants.gov under “Other
Attachment Forms.” The document should be labeled: "Report on Programmatic, Budgetary,
and Commitment Overlap.”
6. Content and Form of Application Submission
Applicants are required to include all of the following documents with their application package
at www.grants.gov.
7. Letter of Intent
Is a LOI:
Recommended but not Required
The purpose of an LOI is to allow CDC program staff to estimate the number of and plan for the
review of submitted applications. Letters of Intent should include the following:
Descriptive title of proposed project:
Name, address, telephone number, and email address of the Principal
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Investigator/Project Director
Name, address, telephone number, and email address of the primary contact for writing
and submitting this application
Number and title of this funding opportunity
Names of other key personnel
Participating institutions
If you chose to submit a LOI, it should be received via express mail, delivery service, or email
to:
Trent D. LeCoultre, MSEH, REHS, CPH
ATSDR, Office of Capacity Development and Applied Prevention Science
1600 Clifton Road, N.E. (MS F-59)
Atlanta, GA 30333
Telephone number: 770-488-3799
Email address: TLeCoultre@cdc.gov
8. Table of Contents
(There is no page limit. The table of contents is not included in the project narrative page
limit.): The applicant must provide, as a separate attachment, the “Table of Contents” for the
entire submission package.
Provide a detailed table of contents for the entire submission package that includes all of the
documents in the application and headings in the "Project Narrative" section. Name the file
"Table of Contents" and upload it as a PDF file under "Other Attachment Forms"
at www.grants.gov.
9. Project Abstract Summary
A project abstract is included on the mandatory documents list and must be submitted
at www.grants.gov. The project abstract must be a self-contained, brief summary of the
proposed project including the purpose and outcomes. This summary must not include any
proprietary or confidential information. Applicants must enter the summary in the "Project
Abstract Summary" text box at www.grants.gov.
10. Project Narrative
Multi-component NOFOs may have a maximum of 15 pages for the “base” (subsections of the
Project Description that the components share with each other, which may include target
population, inclusion, collaboration, etc.); and up to 4 additional pages per component for
Project Narrative subsections that are specific to each component.
Text should be single spaced, 12 point font, 1-inch margins, and number all pages.
Page limits include work plan; content beyond specified limits may not be reviewed.
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Applicants should use the federal plain language guidelines and Clear Communication Index to
respond to this Notice of Funding Opportunity Announcement. Note that recipients should also
use these tools when creating public communication materials supported by this NOFO. Failure
to follow the guidance and format may negatively impact scoring of the application.
a. Background
Applicants must provide a description of relevant background information that includes the
context of the problem (See CDC Background).
b. Approach
i. Purpose
Applicants must describe in 2-3 sentences specifically how their application will address the
problem as described in the CDC Background section.
ii. Outcomes
Applicants must clearly identify the outcomes they expect to achieve by the end of the period of
performance. Outcomes are the results that the program intends to achieve. All outcomes must
indicate the intended direction of change (e.g., increase, decrease, maintain). (See the logic
model in the Approach section of the CDC Project Description.)
iii. Strategies and Activities
Applicants must provide a clear and concise description of the strategies and activities they will
use to achieve the period of performance outcomes. Applicants must select existing evidencebased strategies that meet their needs, or describe in the Applicant Evaluation and Performance
Measurement Plan how these strategies will be evaluated over the course of the period of
performance. (See CDC Project Description: Strategies and Activities section.)
1. Collaborations
Applicants must describe how they will collaborate with programs and organizations either
internal or external to CDC. Applicants must address the Collaboration requirements as
described in the CDC Project Description.
2. Target Populations and Health Disparities
Applicants must describe the specific target population(s) in their jurisdiction and explain how
such a target will achieve the goals of the award and/or alleviate health disparities. The
applicants must also address how they will include specific populations that can benefit from
the program that is described in the Approach section. Applicants must address the Target
Populations and Health Disparities requirements as described in the CDC Project Description.
c. 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
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Performance Measurement and Project Description sections of this NOFO. At a minimum, the
plan must describe:
How applicant will collect the performance measures, respond to the evaluation
questions, and use evaluation findings for continuous program quality improvement. The
Paperwork Reduction Act of 1995 (PRA): Applicants are advised that any activities
involving information collections (e.g., surveys, questionnaires, applications, audits,
data requests, reporting, recordkeeping and disclosure requirements) from 10 or more
individuals or non-Federal entities, including State and local governmental agencies, and
funded or sponsored by the Federal Government are subject to review and approval by
the Office of Management and Budget. For further information about CDC’s
requirements under PRA
see https://www.cdc.gov/od/science/integrity/reducePublicBurden/.
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, data management plan (DMP), and other relevant data information (e.g.,
performance measures proposed by the applicant).
Where the applicant chooses to, or is expected to, take on specific evaluation studies, they
should be directed to:
Describe the type of evaluations (i.e., process, outcome, or both).
Describe key evaluation questions to be addressed by these evaluations.
Describe other information (e.g., measures, data sources).
Recipients will be required to submit a more detailed Evaluation and Performance Measurement
plan (including the DMP elements) within the first 6 months of award, as described in the
Reporting Section of this NOFO.
***Please refer back to the Evaluation and Performance Measurement section under Part II.A.
Funding Opportunity Description for more detail.
d. Organizational Capacity of Applicants to Implement the Approach
Applicants must address the organizational capacity requirements as described in the CDC
Project Description.
11. Work Plan
(Included in the Project Narrative’s page limit)
Applicants must prepare a work plan consistent with the CDC Project Description Work Plan
section. The work plan integrates and delineates more specifically how the recipient plans to
carry out achieving the period of performance outcomes, strategies and activities, evaluation
and performance measurement.
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12. Budget Narrative
Applicants must submit an itemized budget narrative. When developing the budget narrative,
applicants must consider whether the proposed budget is reasonable and consistent with the
purpose, outcomes, and program strategy outlined in the project narrative. The budget must
include:
Salaries and wages
Fringe benefits
Consultant costs
Equipment
Supplies
Travel
Other categories
Contractual costs
Total Direct costs
Total Indirect costs
Indirect costs could include the cost of collecting, managing, sharing and preserving data.
Indirect costs on grants awarded to foreign organizations and foreign public entities and
performed fully outside of the territorial limits of the U.S. may be paid to support the costs of
compliance with federal requirements at a fixed rate of eight percent of MTDC exclusive of
tuition and related fees, direct expenditures for equipment, and subawards in excess of $25,000.
Negotiated indirect costs may be paid to the American University, Beirut, and the World Health
Organization.
If applicable and consistent with the cited statutory authority for this announcement, applicant
entities may use funds for activities as they relate to the intent of this NOFO to meet national
standards or seek health department accreditation through the Public Health Accreditation
Board (see: http://www.phaboard.org). Applicant entities to whom this provision applies
include state, local, territorial governments (including the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, the Commonwealth of the Northern
Marianna Islands, American Samoa, Guam, the Federated States of Micronesia, the Republic of
the Marshall Islands, and the Republic of Palau), or their bona fide agents, political subdivisions
of states (in consultation with states), federally recognized or state-recognized American Indian
or Alaska Native tribal governments, and American Indian or Alaska Native tribally designated
organizations. Activities include those that enable a public health organization to deliver public
health services such as activities that ensure a capable and qualified workforce, up-to-date
information systems, and the capability to assess and respond to public health needs. Use of
these funds must focus on achieving a minimum of one national standard that supports the
intent of the NOFO. Proposed activities must be included in the budget narrative and must
indicate which standards will be addressed.
Vital records data, including births and deaths, are used to inform public health program and
policy decisions. If applicable and consistent with the cited statutory authority for this NOFO,
applicant entities are encouraged to collaborate with and support their jurisdiction’s vital
records office (VRO) to improve vital records data timeliness, quality and access, and to
advance public health goals. Recipients may, for example, use funds to support efforts to build
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VRO capacity through partnerships; provide technical and/or financial assistance to improve
vital records timeliness, quality or access; or support vital records improvement efforts, as
approved by CDC.
Applicants must name this file “Budget Narrative” and upload it as a PDF file
at www.grants.gov. If requesting indirect costs in the budget, a copy of the indirect cost-rate
agreement is required. If the indirect costs are requested, include a copy of the current
negotiated federal indirect cost rate agreement or a cost allocation plan approval letter for
those Recipients under such a plan. Applicants must name this file “Indirect Cost Rate” and
upload it at www.grants.gov.
Budgets must include funding for two to four staff members to travel to Atlanta for a 2-3
day recipient meeting within the first year of the period of performance. Applicants should also
include travel for two to four staff to attend a regional meeting (at or near ATSDR Regional
Offices) in either year 2 or year 3 of the period of performance.
For assistance in preparing the budget narrative, please refer to the CDC Budget Guidelines
https://www.cdc.gov/grants/documents/Budget-Preparation-Guidance.pdf
13. Intergovernmental Review
The application is subject to Intergovernmental Review of Federal Programs, as governed by
Executive Order 12372, which established a system for state and local intergovernmental
review of proposed federal assistance applications. Applicants should inform their state single
point of contact (SPOC) as early as possible that they are applying prospectively for federal
assistance and request instructions on the state's process. The current SPOC list is available at:
https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review_SPOC_01_2018_OFFM.pdf.
14. Pilot Program for Enhancement of Employee Whistleblower Protections
Pilot Program for Enhancement of Employee Whistleblower Protections: All applicants will be
subject to a term and condition that applies the terms of 48 Code of Federal Regulations
(CFR) section 3.908 to the award and requires that recipients inform their employees in writing
(in the predominant native language of the workforce) of employee whistleblower rights and
protections under 41 U.S.C. 4712.
14a. Funds Tracking
Proper fiscal oversight is critical to maintaining public trust in the stewardship of federal funds.
Effective October 1, 2013, a new HHS policy on subaccounts requires the CDC to set up
payment subaccounts within the Payment Management System (PMS) for all new grant
awards. Funds awarded in support of approved activities and drawdown instructions will be
identified on the Notice of Award in a newly established PMS subaccount (P
subaccount). Recipients will be required to draw down funds from award-specific accounts in
the PMS. Ultimately, the subaccounts will provide recipients and CDC a more detailed and
precise understanding of financial transactions. The successful applicant will be required to
track funds by P-accounts/sub accounts for each project/cooperative agreement awarded.
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Applicants are encouraged to demonstrate a record of fiscal responsibility and the ability to
provide sufficient and effective oversight. Financial management systems must meet the
requirements as described 2 CFR 200 which include, but are not limited to, the following:
Records that identify adequately the source and application of funds for federally-funded
activities.
Effective control over, and accountability for, all funds, property, and other assets.
Comparison of expenditures with budget amounts for each Federal award.
Written procedures to implement payment requirements.
Written procedures for determining cost allowability.
Written procedures for financial reporting and monitoring.
14b. Copyright Interests Provisions
This provision is intended to ensure that the public has access to the results and
accomplishments of public health activities funded by CDC. Pursuant to applicable grant
regulations and CDC’s Public Access Policy, Recipient agrees to submit into the National
Institutes of Health (NIH) Manuscript Submission (NIHMS) system an electronic version of the
final, peer-reviewed manuscript of any such work developed under this award upon acceptance
for publication, to be made publicly available no later than 12 months after the official date of
publication. Also at the time of submission, Recipient and/or the Recipient’s submitting author
must specify the date the final manuscript will be publicly accessible through PubMed Central
(PMC). Recipient and/or Recipient’s submitting author must also post the manuscript through
PMC within twelve (12) months of the publisher's official date of final publication; however the
author is strongly encouraged to make the subject manuscript available as soon as possible. The
recipient must obtain prior approval from the CDC for any exception to this provision.
The author's final, peer-reviewed manuscript is defined as the final version accepted for journal
publication, and includes all modifications from the publishing peer review process, and all
graphics and supplemental material associated with the article. Recipient and its submitting
authors working under this award are responsible for ensuring that any publishing or copyright
agreements concerning submitted articles reserve adequate right to fully comply with this
provision and the license reserved by CDC. The manuscript will be hosted in both PMC and the
CDC Stacks institutional repository system. In progress reports for this award, recipient must
identify publications subject to the CDC Public Access Policy by using the applicable NIHMS
identification number for up to three (3) months after the publication date and the PubMed
Central identification number (PMCID) thereafter.
14c. Reporting of Foreign Taxes (International/Foreign projects only)
A. Valued Added Tax (VAT) and Customs Duties – Customs and import duties, consular fees,
customs surtax, valued added taxes, and other related charges are hereby authorized as an
allowable cost for costs incurred for non-host governmental entities operating where no
applicable tax exemption exists. This waiver does not apply to countries where a bilateral
agreement (or similar legal document) is already in place providing applicable tax exemptions
and it is not applicable to Ministries of Health. Successful applicants will receive information
on VAT requirements via their Notice of Award.
B. The U.S. Department of State requires that agencies collect and report information on the
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amount of taxes assessed, reimbursed and not reimbursed by a foreign government against
commodities financed with funds appropriated by the U.S. Department of State, Foreign
Operations and Related Programs Appropriations Act (SFOAA) (“United States foreign
assistance funds”). Outlined below are the specifics of this requirement:
1)
Annual Report: The recipient must submit a report on or before November 16 for each
foreign country on the amount of foreign taxes charged, as of September 30 of the same year,
by a foreign government on commodity purchase transactions valued at 500 USD or more
financed with United States foreign assistance funds under this grant during the prior United
States fiscal year (October 1 – September 30), and the amount reimbursed and unreimbursed by
the foreign government. [Reports are required even if the recipient did not pay any taxes during
the reporting period.]
2)
Quarterly Report: The recipient must quarterly submit a report on the amount of foreign
taxes charged by a foreign government on commodity purchase transactions valued at 500 USD
or more financed with United States foreign assistance funds under this grant. This report shall
be submitted no later than two weeks following the end of each quarter: April 15, July 15,
October 15 and January 15.
3)
Terms: For purposes of this clause: “Commodity” means any material, article, supplies,
goods, or equipment; “Foreign government” includes any foreign government entity; “Foreign
taxes” means value-added taxes and custom duties assessed by a foreign government on a
commodity. It does not include foreign sales taxes.
4)
Where: Submit the reports to the Director and Deputy Director of the CDC office in the
country(ies) in which you are carrying out the activities associated with this cooperative
agreement. In countries where there is no CDC office, send reports to VATreporting@cdc.gov.
5)
Contents of Reports: The reports must contain: a.
recipient name; b.
contact
name with phone, fax, and e-mail; c.
agreement number(s) if reporting by agreement(s);
d.
reporting period; e.
amount of foreign taxes assessed by each foreign government;
f.
amount of any foreign taxes reimbursed by each foreign government; g.
amount of
foreign taxes unreimbursed by each foreign government.
6)
Subagreements. The recipient must include this reporting requirement in all applicable
subgrants and other subagreements.
14d. Data Management Plan
As identified in the Evaluation and Performance Measurement section, applications involving
data collection must include a Data Management Plan (DMP) as part of their evaluation and
performance measurement plan. The DMP is the applicant’s assurance of the quality of the
public health data through the data’s lifecycle and plans to deposit data in a repository to
preserve and to make the data accessible in a timely manner. See web link for additional
information: https://www.cdc.gov/grants/additionalrequirements/ar-25.html
15. Funding Restrictions
Restrictions that must be considered while planning the programs and writing the budget are:
Recipients may not use funds for research.
Recipients may not use funds for clinical care except as allowed by law.
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Recipients may use funds only for reasonable program purposes, including personnel,
travel, supplies, and services.
Generally, recipients may not use funds to purchase furniture or equipment. Any such
proposed spending must be clearly identified in the budget.
Reimbursement of pre-award costs generally is not allowed, unless the CDC provides
written approval to the recipient.
Other than for normal and recognized executive-legislative relationships, no funds may
be used for:
o publicity or propaganda purposes, for the preparation, distribution, or use of any
material designed to support or defeat the enactment of legislation before any
legislative body
o the salary or expenses of any grant or contract recipient, or agent acting for such
recipient, related to any activity designed to influence the enactment of
legislation, appropriations, regulation, administrative action, or Executive order
proposed or pending before any legislative body
See Additional Requirement (AR) 12 for detailed guidance on this prohibition
and additional guidance on lobbying for CDC recipients.
The direct and primary recipient in a cooperative agreement program must perform a
substantial role in carrying out project outcomes and not merely serve as a conduit for an
award to another party or provider who is ineligible.
In accordance with the United States Protecting Life in Global Health Assistance policy,
all non-governmental organization (NGO) applicants acknowledge that foreign NGOs
that receive funds provided through this award, either as a prime recipient or
subrecipient, are strictly prohibited, regardless of the source of funds, from performing
abortions as a method of family planning or engaging in any activity that promotes
abortion as a method of family planning, or to provide financial support to any other
foreign non-governmental organization that conducts such activities. See Additional
Requirement (AR) 35 for applicability
(https://www.cdc.gov/grants/additionalrequirements/ar-35.html).
.
16. Other Submission Requirements
a. Electronic Submission: Applications must be submitted electronically by using the forms
and instructions posted for this notice of funding opportunity at www.grants.gov. Applicants
can complete the application package using Workspace, which allows forms to be filled out
online or offline. All application attachments must be submitted using a PDF file format.
Instructions and training for using Workspace can be found at www.grants.gov under the
"Workspace Overview" option.
b. Tracking Number: Applications submitted through www.grants.gov are time/date stamped
electronically and assigned a tracking number. The applicant’s Authorized Organization
Representative (AOR) will be sent an e-mail notice of receipt when www.grants.gov receives
the application. The tracking number documents that the application has been submitted and
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initiates the required electronic validation process before the application is made available to
CDC.
c. Validation Process: Application submission is not concluded until the validation process is
completed successfully. After the application package is submitted, the applicant will receive a
“submission receipt” e-mail generated by www.grants.gov. A second e-mail message to
applicants will then be generated by www.grants.gov that will either validate or reject the
submitted application package. This validation process may take as long as two business days.
Applicants are strongly encouraged to check the status of their application to ensure that
submission of their package has been completed and no submission errors have occurred.
Applicants also are strongly encouraged to allocate ample time for filing to guarantee that their
application can be submitted and validated by the deadline published in the NOFO. Nonvalidated applications will not be accepted after the published application deadline date.
If you do not receive a “validation” e-mail within two business days of application submission,
please contact www.grants.gov. For instructions on how to track your application, refer to the email message generated at the time of application submission or the Grants.gov Online User
Guide.
https://www.grants.gov/ help/html/help/ index.htm? callingApp=custom#t=
Get_Started%2FGet_Started. htm
d. Technical Difficulties: If technical difficulties are encountered at www.grants.gov,
applicants should contact Customer Service at www.grants.gov. The www.grants.gov Contact
Center is available 24 hours a day, 7 days a week, except federal holidays. The Contact Center
is available by phone at 1-800-518-4726 or by e-mail at support@grants.gov. Application
submissions sent by e-mail or fax, or on CDs or thumb drives will not be accepted. Please note
that www.grants.gov is managed by HHS.
e. Paper Submission: If technical difficulties are encountered at www.grants.gov, applicants
should call the www.grants.gov Contact Center at 1-800-518-4726 or e-mail them
at support@grants.gov for assistance. After consulting with the Contact Center, if the technical
difficulties remain unresolved and electronic submission is not possible, applicants may e-mail
CDC GMO/GMS, before the deadline, and request permission to submit a paper application.
Such requests are handled on a case-by-case basis.
An applicant’s request for permission to submit a paper application must:
1. Include the www.grants.gov case number assigned to the inquiry
2. Describe the difficulties that prevent electronic submission and the efforts taken with
the www.grants.gov Contact Center to submit electronically; and
3. Be received via e-mail to the GMS/GMO listed below at least three calendar days before
the application deadline. Paper applications submitted without prior approval will not be
considered.
If a paper application is authorized, OGS will advise the applicant of specific
instructions for submitting the application (e.g., original and two hard copies of the
application by U.S. mail or express delivery service).
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E. Review and Selection Process
1. Review and Selection Process: Applications will be reviewed in three phases.
a. Phase I Review
All applications will be initially reviewed for eligibility and completeness by the Office of
Grants Services. Complete applications will be reviewed for responsiveness by Grants
Management Officials and Program Officials. Non-responsive applications will not advance to
Phase II review. Applicants will be notified that their applications did not meet eligibility and/or
published submission requirements.
b. Phase II Review
A review panel will evaluate complete, eligible applications in accordance with the criteria
below.
i. Approach ii. Evaluation and Performance Measurement iii. Applicant’s Organizational
Capacity to Implement the Approach
Not more than thirty days after the Phase II review is completed, applicants will be notified
electronically if their application does not meet eligibility or published submission
requirements.
i. Approach - COMPONENT 1: Core Activities
Maximum Points: 50
The applicant should clearly describe a proposed approach for carrying out the activities listed
in the “Workplan” section of the Project Description in the full text of this announcement. The
application will be scored based on the extent to which the following questions can be
answered:
Strategy A (35 pts):
Does the applicant demonstrate a clear public health burden related to potential, or
actual, exposures to hazardous substances in the environment? Indicators of burden
should include:
o Five (5) or more NPL sites, and/or sites with significant community, media, or
Congressional interest. (10 pts)
o Applicants will be scored based on a percentage of people living near
hazardous waste sites. ATSDR will determine this through database analysis
and GIS mapping to give an indication of the number of people potentially
benefiting from this award through reduction, elimination, or prevention of
health effects from exposure to hazardous substances. A detailed description of
this process, including specific databases used, will be made available during
the informational call to be held prior to the application due date. Based on this
analysis, applicants will be stratified and those with the highest burden will
receive the maximum points. Applicants do not need to provide any
documentation or materials in support of this criterion. (10 pts)
Does the application include a description of specific examples where partnerships and
collaborations between the applicant and environmental regulatory agencies and
communities were successful in achieving the desired outcome of reducing exposure to
hazardous chemicals in the environment? Such interactions demonstrate effective
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communications in getting the environmental regulatory agencies and communities to
accept public health recommendations from the applicant. Specific outcomes achieved
should be included. (10 pts)
Does the applicant include five letters of support (dated between July 1, 2019 and
December 31, 2019) from environmental regulatory agencies, communities, state
environmental labs, or federal/state/local agencies that detail the applicant’s role and
success with reducing exposure to hazardous chemicals in the environment? These
letters should be included in an appendix to the application. (5 pts)
Strategy B (15 pts):
Does the applicant demonstrate organizational commitment to the process and
objectives of the CSPECE program? (8 pts)
o Does the applicant include letters of support or MOUs from the state’s childcare
licensing agency, environmental regulatory agencies, applicable state-specific
childcare partners, non-profits, or other federal/state/local agencies that
demonstrate support for the CSPECE program?
o Does the applicant emphasize dedicated staff time for this Strategy?
Does the applicant present a clear proposal of activities that support outcomes? (7
points)
o Background: Does the applicant provide a description of relevant background
information, including the state-specific context of the problem and target
audience?
o Purpose: Does the applicant provide a 2-3 sentence purpose/goal for their
program?
o Strategies and activities: Does the applicant provide a clear and concise
description of the strategies and activities they will use to achieve the period-ofperformance outcomes?
o Outcomes: Does the applicant clearly identify outcomes expected to be achieved
by the end of the period of performance and year-to-year benchmarks?
o Sustainability (only for applicants previously funded under TS17-1701): Does
the applicant clearly identify strategies that contribute to program sustainability?
ii. Evaluation and Performance Measurement - COMPONENT 1:
Maximum Points: 25
Core Activities
Applicants will be scored on the extent to which their evaluation and performance
measurement plan addresses:
1. Inclusion of clearly proposed process measures of implementation and outcome
measures of effectiveness. Measures should be consistent with the strategies/activities
and outcomes in the work plan and should measures performance related to the NOFO’s
logic model and goals. (8 points)
2. Clear description of the type of evaluation, key evaluation questions, methods and data
sources applicant will use to collect measures. Evaluation questions should relate to
logic model activities and goals. Methods and data sources should be feasible and any
limitations to data quality or barriers in collecting data should be clearly articulated. (10
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points)
3. Clear description of how the applicant will use evaluation findings for continuous
program improvement. (4 points)
4. Identification of person or persons that will conduct performance measurement and
evaluation activities and description of respective experience with planning,
implementing, and evaluating programs. Relevant education, trainings, and practical
experience should be detailed. (3 points)
iii. Applicant's Organizational Capacity to Implement the
Approach - COMPONENT 1: Core Activities
Program Personnel (15 points)
Maximum Points: 25
Personnel (10 pts):
Does the applicant demonstrate a commitment to maintain a technical staff proficient in
conducting health assessment, community engagement, and health education?
Does the applicant describe how they can expeditiously execute contracts or hire staff if
staffing changes are needed?
Does the applicant demonstrate appropriate qualifications, experience, leadership
ability, and percentage of time the Project Manager and/or Principle Investigator will
commit to the project?
Does the applicant demonstrate a percentage of time that will be spent on Community
Involvement and Health Promotion/Education?
Curriculum vitae for all staff must be provided.
Personnel development (5 pts):
Does the applicant demonstrate commitment to participate in ATSDR-sponsored
trainings, seminars, workshops, technical workgroups, teleconferences, and in-person
meetings with ATSDR staff?
Capability (10 points)
Does the applicant demonstrate the ability to carry out the proposed project, suitability of
facilities, and ability to develop an integrated program focusing on coordinating site activities
with stakeholders such as EPA, tribal governments, state and local health and environmental
offices and agencies, state environmental labs, child care licensing boards, and communities?
This should include the ability to respond to specific public health issues that occur as a result
of actual or potential human exposure to a hazardous substance, including, methods to evaluate
pathways of exposure and to analyze toxicological data, community health concerns, and
environmental health data. This also includes the ability to conduct Exposure Investigations
including analysis and reporting of data. Specific examples of conducting these activities
must be provided. (10 points)
Budget - COMPONENT 1: Core Activities
Maximum Points: 0
Presentation of a reasonable budget that is consistent with the stated objectives and planned
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program activities. Budget will be reviewed but not scored.
i. Approach - COMPONENT 2: Capacity Development and
Maximum Points: 50
Applied Prevention Science
1. Purpose, Outcomes, Strategies and Activities, and Target Populations (20 points):
Background: Applicants must identify the Focus Area(s) advanced by the proposal.
Each applicant must provide a description of relevant background information that
includes the context of the issue being addressed, nationally and in the applicant’s
jurisdiction. (2 points)
Purpose: Applicants must describe, in 2-3 sentences, specifically how their application
will address the Focus Area(s) for which activities are being proposed. (2 points)
Outcomes: Applicants must clearly identify the outcomes they expect to achieve by the
end of the period of performance. Outcomes are the results that the program intends to
achieve. All outcomes must indicate the intended direction of change (e.g., increase,
decrease, maintain). (6 points)
Strategies and Activities: Applicants must provide a clear and concise description of
the strategies and activities they will use to achieve the period-of-performance
outcomes. (8 points)
Target Populations: Applicants must describe how the interventions to be improved or
evaluated target high-risk groups to achieve the greatest health impact, as described in
the "Target Populations" section of this NOFO. (2 points)
2. Work Plan (30 points):
Applicants will be scored on their preparation of a work plan consistent with this NOFO's
"Work Plan" section. It must include a detailed first-year work plan and a high-level plan for
subsequent years. This is the applicant's opportunity to clearly show what it will do with the
funding. After reading the work plan, reviewers should be able to understand how the applicant
plans to carry out achieving the period-of-performance outcomes, strategies, and activities.
Are the goals and objectives SMART (Specific, Measurable, Achievable, Relevant,
Time-framed)? (10 points)
Does the applicant outline the activities necessary to accomplish the purpose of the
proposal? (15 points)
Does the applicant provide a reasonable and complete timeline for implementing and
completing all activities and objectives? (5 points)
ii. Evaluation and Performance Measurement - COMPONENT 2:
Capacity Development and Applied Prevention Science
Applicants will be scored on the extent to which the applicant:
Maximum Points: 25
Shows/affirms the ability to collect data on the process and outcome performance
measures presented by the applicant in their approach. (10 points)
Describes clear monitoring and evaluation procedures and how evaluation and
performance measurement will be incorporated into planning, implementation, and
reporting of project activities. (10 points)
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Describes how performance measurement and evaluation findings will be reported, and
used to demonstrate the outcomes of the NOFO and for continuous program quality
improvement. (5 points)
iii. Applicants Organizational Capacity to Implement the
Approach - COMPONENT 2: Capacity Development and Applied
Prevention Science
Maximum Points: 25
Prior knowledge and experience working in the Focus Area(s) selected. (10 points)
Proven ability to collect data at the targeted population and use data to demonstrate
impact. (10 points)
Provides a staffing plan and project management structure sufficient to achieve the
proposed project outcomes that clearly defines staff roles and sufficient workload for
the additional activities selected. (5 points)
Budget - COMPONENT 2: Capacity Development and Applied
Maximum Points: 0
Prevention Science
Presentation of a reasonable budget that is consistent with the stated objectives and planned
program activities. Budget will be reviewed but not scored.
c. Phase III Review
An Objective Review will be performed on eligible applications; applications will be ranked
based on application scores and funding awarded in rank order. The following factors also
may affect the final funding decision:
The need for geographic diversity
The importance of including largest populations with the highest environmental health
burden
ATSDR will provide justification for any decision to fund out of rank order.
Review of risk posed by applicants.
Prior to making a Federal award, CDC is required by 31 U.S.C. 3321 and 41 U.S.C. 2313 to
review information available through any OMB-designated repositories of government-wide
eligibility qualification or financial integrity information as appropriate. See also suspension
and debarment requirements at 2 CFR parts 180 and 376.
In accordance 41 U.S.C. 2313, CDC is required to review the non-public segment of the OMBdesignated integrity and performance system accessible through SAM (currently the
Federal Recipient Performance and Integrity Information System (FAPIIS)) prior to making a
Federal award where the Federal share is expected to exceed the simplified acquisition
threshold, defined in 41 U.S.C. 134, over the period of performance. At a minimum, the
information in the system for a prior Federal award recipient must demonstrate a satisfactory
record of executing programs or activities under Federal grants, cooperative agreements, or
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procurement awards; and integrity and business ethics. CDC may make a Federal award to a
recipient who does not fully meet these standards, if it is determined that the information is not
relevant to the current Federal award under consideration or there are specific conditions that
can appropriately mitigate the effects of the non-Federal entity's risk in accordance with 45 CFR
§75.207.
CDC’s framework for evaluating the risks posed by an applicant may incorporate results of the
evaluation of the applicant's eligibility or the quality of its application. If it is determined that a
Federal award will be made, special conditions that correspond to the degree of risk assessed
may be applied to the Federal award. The evaluation criteria is described in this Notice of
Funding Opportunity.
In evaluating risks posed by applicants, CDC will use a risk-based approach and may consider
any items such as the following:
(1) Financial stability;
(2) Quality of management systems and ability to meet the management standards prescribed in
this part;
(3) History of performance. The applicant's record in managing Federal awards, if it is a prior
recipient of Federal awards, including timeliness of compliance with applicable reporting
requirements, conformance to the terms and conditions of previous Federal awards, and if
applicable, the extent to which any previously awarded amounts will be expended prior to
future awards;
(4) Reports and findings from audits performed under subpart F 45 CFR 75 or the reports and
findings of any other available audits; and
(5) The applicant's ability to effectively implement statutory, regulatory, or other requirements
imposed on non-Federal entities.
CDC must comply with the guidelines on government-wide suspension and debarment in 2
CFR part 180, and require non-Federal entities to comply with these provisions. These
provisions restrict Federal awards, subawards and contracts with certain parties that are
debarred, suspended or otherwise excluded from or ineligible for participation in Federal
programs or activities.
2. Announcement and Anticipated Award Dates
Notification of selection will occur in March 2020. Recipients are expected to receive awards to
start on April 1, 2020.
F. Award Administration Information
1. Award Notices
Recipients will receive an electronic copy of the Notice of Award (NOA) from CDC OGS. The
NOA shall be the only binding, authorizing document between the recipient and CDC. The
NOA will be signed by an authorized GMO and emailed to the Recipient Business Officer listed
in application and the Program Director.
Any applicant awarded funds in response to this NOFO will be subject to the DUNS, SAM
Registration, and Federal Funding Accountability And Transparency Act Of 2006 (FFATA)
requirements.
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Unsuccessful applicants will receive notification of these results by e-mail with delivery receipt
or by U.S. mail.
2. Administrative and National Policy Requirements
Recipients must comply with the administrative and public policy requirements outlined in 45
CFR Part 75 and the HHS Grants Policy Statement, as appropriate.
Brief descriptions of relevant provisions are available
at http://www.cdc.gov/grants/additionalrequirements/index.html#ui-id-17.
The HHS Grants Policy Statement is available
at http://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf.
The full text of the Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for HHS Awards, 45 CFR 75, can be found at: https://www.ecfr.gov/cgi-bin/textidx?node=pt45.1.75
3. Reporting
Reporting provides continuous program monitoring and identifies successes and challenges
that recipients encounter throughout the period of performance. Also, reporting is a requirement
for recipients who want to apply for yearly continuation of funding. Reporting helps CDC
and recipients because it:
Helps target support to recipients;
Provides CDC with periodic data to monitor recipient progress toward meeting the
NOFO outcomes and overall performance;
Allows CDC to track performance measures and evaluation findings for continuous
quality and program improvement throughout the period of performance and to
determine applicability of evidence-based approaches to different populations, settings,
and contexts; and
Enables CDC to assess the overall effectiveness and influence of the NOFO.
The table below summarizes required and optional reports. All required reports must be sent
electronically to GMS listed in the “Agency Contacts” section of the NOFO copying the CDC
Project Officer.
Report
When?
Required?
Recipient Evaluation and
6 months into award
Yes
No later than 120 days before
Yes
Performance Measurement
Plan (EPMP), including Data
Management Plan (DMP)
Annual Performance Report
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(APR)
end of budget period. Serves as
yearly continuation application.
Final Period of Performance
Report
March 31, 2023
Yes
Federal Financial Reporting
90 days after end of calendar
Yes
Forms
quarter in which budget period
ends
Final Performance and
Financial Report
90 days after end of period of
performance.
Payment Management System Quarterly reports due July
(PMS) Reporting
Yes
Yes
30, 2020; October 30, 2020;
January 30, 2021; April 30,
2021; July
30, 2021; October 30, 2021;
January 30, 2022; April 30,
2022; July
30, 2022; October 30, 2022;
January 30, 2023
Cost Recovery: CERCLA, as amended by SARA, provides for the recovery of costs incurred
for response actions at each Superfund site from potentially responsible parties. The grant
recipient will maintain an accounting system that will keep an accurate, complete, and current
accounting of all financial transactions on a site-specific basis, i.e., individual time, travel, and
associated costs including indirect cost, as appropriate for the site. The recipient will also
maintain documentation that describes the site-specific response actions taken with respect to
the site, e.g., contracts, work assignments (e.g., environmental health assessment reports,
community involvement, health promotion, etc.), progress reports, and other documents that
describe the work performed at a site. The recipient will provide the site-specific costs and
description of each response action taken with the supporting documentation upon request by
ATSDR. The recipient will retain the documents and records to support these financial
transactions and documentation of work performed, for possible use in a cost recovery case, for
a minimum of ten years after submission of a final financial status report, unless there is
litigation, claim, negotiation, audit or other action involving the specific site; then the records
will be maintained until resolution of all issues on the specific site.
a. Recipient Evaluation and Performance Measurement Plan (required)
With support from CDC, recipients must elaborate on their initial applicant evaluation and
performance measurement plan. This plan must be no more than 20 pages; recipients must
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submit the plan 6 months into the award. HHS/CDC will review and approve the recipient’s
monitoring and evaluation plan to ensure that it is appropriate for the activities to be undertaken
as part of the agreement, for compliance with the monitoring and evaluation guidance
established by HHS/CDC, or other guidance otherwise applicable to this Agreement.
Recipient Evaluation and Performance Measurement Plan (required): This plan should provide
additional detail on the following:
Performance Measurement
• Performance measures and targets
• The frequency that performance data are to be collected.
• How performance data will be reported.
• How quality of performance data will be assured.
• How performance measurement will yield findings to demonstrate progress towards
achieving NOFO goals (e.g., reaching target populations or achieving expected outcomes).
• Dissemination channels and audiences.
• Other information requested as determined by the CDC program.
Evaluation
• The types of evaluations to be conducted (e.g. process or outcome evaluations).
• The frequency that evaluations will be conducted.
• How evaluation reports will be published on a publically available website.
• How evaluation findings will be used to ensure continuous quality and program improvement.
• How evaluation will yield findings to demonstrate the value of the NOFO (e.g., effect on
improving public health outcomes, effectiveness of NOFO, cost-effectiveness or cost-benefit).
• Dissemination channels and audiences.
HHS/CDC or its designee will also undertake monitoring and evaluation of the defined
activities within the agreement. The recipient must ensure reasonable access by HHS/CDC or
its designee to all necessary sites, documentation, individuals and information to monitor,
evaluate and verify the appropriate implementation the activities and use of HHS/CDC funding
under this Agreement.
b. Annual Performance Report (APR) (required)
The recipient must submit the APR via www.Grantsolutions.gov 120 days prior to the end of
the budget period. This report must not exceed 45 pages excluding administrative reporting.
Attachments are not allowed, but weblinks are allowed.
This report must include the following:
Performance Measures: Recipients must report on performance measures for each
budget period and update measures, if needed.
Evaluation Results: Recipients must report evaluation results for the work completed to
date (including findings from process or outcome evaluations).
Work Plan: Recipients must update work plan each budget period to reflect any
changes in period of performance outcomes, activities, timeline, etc.
Successes
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o Recipients must report progress on completing activities and progress towards
achieving the period of performance outcomes described in the logic model and
work plan.
o Recipients must describe any additional successes (e.g. identified through
evaluation results or lessons learned) achieved in the past year.
o Recipients must describe success stories.
Challenges
o Recipients must describe any challenges that hindered or might hinder their
ability to complete the work plan activities and achieve the period of
performance outcomes.
o Recipients must describe any additional challenges (e.g., identified through
evaluation results or lessons learned) encountered in the past year.
CDC Program Support to Recipients
o Recipients must describe how CDC could help them overcome challenges to
complete activities in the work plan and achieving period of performance
outcomes.
Administrative Reporting (No page limit)
o SF-424A Budget Information-Non-Construction Programs.
o Budget Narrative – Must use the format outlined in "Content and Form of
Application Submission, Budget Narrative" section.
o Indirect Cost Rate Agreement.
The recipient must submit the Annual Performance Report via www.Grantsolutions.gov 120
days prior to the end of the budget period.
c. Performance Measure Reporting (optional)
CDC programs may require more frequent reporting of performance measures than annually in
the APR. If this is the case, CDC programs must specify reporting frequency, data fields, and
format for recipients at the beginning of the award period.
Recipients will be required to provide a final comprehensive report at the end of the period of
performance. This is the only additional performance measure reporting outside of the annual
APR.
This is not to be confused with regular data entry and required reporting described in section b.i.
CDC Evaluation and Performance Measurement Strategy, which includes SIA, HEAT, TA, and
success story required reporting metrics, which should be entered on a more frequent basis as
previously indicated.
d. Federal Financial Reporting (FFR) (required)
The annual FFR form (SF-425) is required and must be submitted 90 days after the end of the
budget period. The report must include only those funds authorized and disbursed during the
timeframe covered by the report. The final FFR must indicate the exact balance of unobligated
funds, and may not reflect any unliquidated obligations. There must be no discrepancies
between the final FFR expenditure data and the Payment Management System’s (PMS) cash
transaction data. Failure to submit the required information by the due date may adversely affect
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the future funding of the project. If the information cannot be provided by the due date,
awardees are required to submit a letter of explanation to OGS and include the date by which
the Grants Officer will receive information.
e. Final Performance and Financial Report (required)
This report is due 90 days after the end of the period of performance. CDC programs must
indicate that this report should not exceed 40 pages. This report covers the entire period of
performance and can include information previously reported in APRs. At a minimum, this
report must include the following:
Performance Measures – Recipients must report final performance data for all process
and outcome performance measures.
Evaluation Results – Recipients must report final evaluation results for the period of
performance for any evaluations conducted.
Impact/Results/Success Stories – Recipients must use their performance measure results
and their evaluation findings to describe the effects or results of the work completed
over the period of performance, and can include some success stories.
A final Data Management Plan that includes the location of the data collected during the
funded period, for example, repository name and link data set(s)
Additional forms as described in the Notice of Award (e.g., Equipment Inventory
Report, Final Invention Statement).
The report should be emailed to the Project Officer and the GMS listed in 'Agency Contacts'
section of this NOFO.
4. Federal Funding Accountability and Transparency Act of 2006 (FFATA)
Federal Funding Accountability and Transparency Act of 2006 (FFATA), P.L. 109–282, as
amended by section 6202 of P.L. 110–252 requires full disclosure of all entities and
organizations receiving Federal funds including awards, contracts, loans, other assistance, and
payments through a single publicly accessible Web site, http://www.USASpending.gov.
Compliance with this law is primarily the responsibility of the Federal agency. However, two
elements of the law require information to be collected and reported by applicants: 1)
information on executive compensation when not already reported through the SAM, and 2)
similar information on all sub-awards/subcontracts/consortiums over $25,000.
For the full text of the requirements under the FFATA and HHS guidelines, go to:
https://www.gpo.gov/fdsys/pkg/PLAW-109publ282/pdf/PLAW-109publ282.pdf,
https://www. fsrs.gov/documents /ffata_legislation_ 110_252.pdf
http://www.hhs.gov/grants/grants/grants-policies-regulations/index.html#FFATA.
G. Agency Contacts
CDC encourages inquiries concerning this NOFO.
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Program Office Contact
For programmatic technical assistance, contact:
Trent LeCoultre, Project Officer
Department of Health and Human Services
Centers for Disease Control and Prevention
4770 Buford Hwy NE
MS-S102-1
Atlanta, GA 30341-3717
Telephone: (770) 488-3799
Email: tll7@cdc.gov
Grants Management Office Information
For financial, awards management, or budget assistance, contact:
Jenise Yawn, Grants Management Specialist
Department of Health and Human Services
Office of Grants Services
2939 Flowers Rd.
MS-TV-2
Atlanta, GA 30341
Telephone: (770) 488-2720
Email: koy5@cdc.gov
For assistance with submission difficulties related to www.grants.gov, contact the Contact
Center by phone at 1-800-518-4726.
Hours of Operation: 24 hours a day, 7 days a week, except on federal holidays.
CDC Telecommunications for persons with hearing loss is available at: TTY 1-888-232-6348.
H. Other Information
Following is a list of acceptable attachments applicants can upload as PDF files as part of their
application at www.grants.gov. Applicants may not attach documents other than those listed; if
other documents are attached, applications will not be reviewed.
Project Abstract
Project Narrative
Budget Narrative
CDC Assurances and Certifications
Report on Programmatic, Budgetary and Commitment Overlap
Table of Contents for Entire Submission
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For international NOFOs:
SF424
SF424A
Funding Preference Deliverables
Optional attachments, as determined by CDC programs:
Resumes / CVs
Position descriptions
Letters of Support
Organization Charts
Indirect Cost Rate, if applicable
Memorandum of Agreement (MOA)
Memorandum of Understanding (MOU)
I. Glossary
Activities: The actual events or actions that take place as a part of the program.
Administrative and National Policy Requirements, Additional Requirements
(ARs): Administrative requirements found in 45 CFR Part 75 and other requirements mandated
by statute or CDC policy. All ARs are listed in the Template for CDC programs. CDC programs
must indicate which ARs are relevant to the NOFO; recipients must comply with the ARs listed
in the NOFO. To view brief descriptions of relevant provisions, see http:// www.cdc.gov/
grants/ additional requirements/ index.html. Note that 2 CFR 200 supersedes the administrative
requirements (A-110 & A-102), cost principles (A-21, A-87 & A-122) and audit requirements
(A-50, A-89 & A-133).
Approved but Unfunded: Approved but unfunded refers to applications recommended for
approval during the objective review process; however, they were not recommended for funding
by the program office and/or the grants management office.
Assistance Listings (CFDA): A government-wide compendium published by the General
Services Administration (available on-line in searchable format as well as in printable format as
a .pdf file) that describes domestic assistance programs administered by the Federal
Government.
Assistance Listings (CFDA) Number: A unique number assigned to each program and NOFO
throughout its lifecycle that enables data and funding tracking and transparency.
Award: Financial assistance that provides support or stimulation to accomplish a public
purpose. Awards include grants and other agreements (e.g., cooperative agreements) in the form
of money, or property in lieu of money, by the federal government to an eligible applicant.
Budget Period or Budget Year: The duration of each individual funding period within the
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period of performance. Traditionally, budget periods are 12 months or 1 year.
Carryover: Unobligated federal funds remaining at the end of any budget period that, with the
approval of the GMO or under an automatic authority, may be carried over to another budget
period to cover allowable costs of that budget period either as an offset or additional
authorization. Obligated but liquidated funds are not considered carryover.
CDC Assurances and Certifications: Standard government-wide grant application forms.
Competing Continuation Award: A financial assistance mechanism that adds funds to a grant
and adds one or more budget periods to the previously established period of performance (i.e.,
extends the “life” of the award).
Continuous Quality Improvement: A system that seeks to improve the provision of services
with an emphasis on future results.
Contracts: An award instrument used to acquire (by purchase, lease, or barter) property or
services for the direct benefit or use of the Federal Government.
Cooperative Agreement: A financial assistance award with the same kind of interagency
relationship as a grant except that it provides for substantial involvement by the federal agency
funding the award. Substantial involvement means that the recipient can expect federal
programmatic collaboration or participation in carrying out the effort under the award.
Cost Sharing or Matching: Refers to program costs not borne by the Federal Government but
by the recipients. It may include the value of allowable third-party, in-kind contributions, as
well as expenditures by the recipient.
Direct Assistance: A financial assistance mechanism, which must be specifically authorized by
statute, whereby goods or services are provided to recipients in lieu of cash. DA generally
involves the assignment of federal personnel or the provision of equipment or supplies, such as
vaccines. DA is primarily used to support payroll and travel expenses of CDC employees
assigned to state, tribal, local, and territorial (STLT) health agencies that are recipients of grants
and cooperative agreements. Most legislative authorities that provide financial assistance to
STLT health agencies allow for the use of DA. http:// www.cdc.gov /grants
/additionalrequirements /index.html.
DUNS: The Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number is
a nine-digit number assigned by Dun and Bradstreet Information Services. When applying for
Federal awards or cooperative agreements, all applicant organizations must obtain a DUNS
number as the Universal Identifier. DUNS number assignment is free. If requested by telephone,
a DUNS number will be provided immediately at no charge. If requested via the Internet,
obtaining a DUNS number may take one to two days at no charge. If an organization does not
know its DUNS number or needs to register for one, visit Dun & Bradstreet at
http://fedgov.dnb.com/ webform/displayHomePage.do.
Evaluation (program evaluation): The systematic collection of information about the
activities, characteristics, and outcomes of programs (which may include interventions, policies,
and specific projects) to make judgments about that program, improve program effectiveness,
and/or inform decisions about future program development.
Evaluation Plan: A written document describing the overall approach that will be used to guide
an evaluation, including why the evaluation is being conducted, how the findings will likely be
used, and the design and data collection sources and methods. The plan specifies what will be
done, how it will be done, who will do it, and when it will be done. The NOFO evaluation plan
is used to describe how the recipient and/or CDC will determine whether activities are
implemented appropriately and outcomes are achieved.
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Federal Funding Accountability and Transparency Act of 2006 (FFATA): Requires that
information about federal awards, including awards, contracts, loans, and other assistance and
payments, be available to the public on a single website at www.USAspending.gov.
Fiscal Year: The year for which budget dollars are allocated annually. The federal fiscal year
starts October 1 and ends September 30.
Grant: A legal instrument used by the federal government to transfer anything of value to a
recipient for public support or stimulation authorized by statute. Financial assistance may be
money or property. The definition does not include a federal procurement subject to the Federal
Acquisition Regulation; technical assistance (which provides services instead of money); or
assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies, insurance,
or direct payments of any kind to a person or persons. The main difference between a grant and
a cooperative agreement is that in a grant there is no anticipated substantial programmatic
involvement by the federal government under the award.
Grants.gov: A "storefront" web portal for electronic data collection (forms and reports) for
federal grant-making agencies at www.grants.gov.
Grants Management Officer (GMO): The individual designated to serve as the HHS official
responsible for the business management aspects of a particular grant(s) or cooperative
agreement(s). The GMO serves as the counterpart to the business officer of the recipient
organization. In this capacity, the GMO is responsible for all business management matters
associated with the review, negotiation, award, and administration of grants and interprets
grants administration policies and provisions. The GMO works closely with the program or
project officer who is responsible for the scientific, technical, and programmatic aspects of the
grant.
Grants Management Specialist (GMS): A federal staff member who oversees the business
and other non-programmatic aspects of one or more grants and/or cooperative agreements.
These activities include, but are not limited to, evaluating grant applications for administrative
content and compliance with regulations and guidelines, negotiating grants, providing
consultation and technical assistance to recipients, post-award administration and closing out
grants.
Health Disparities: Differences in health outcomes and their determinants among segments of
the population as defined by social, demographic, environmental, or geographic category.
Health Equity: Striving for the highest possible standard of health for all people and giving
special attention to the needs of those at greatest risk of poor health, based on social conditions.
Health Inequities: Systematic, unfair, and avoidable differences in health outcomes and their
determinants between segments of the population, such as by socioeconomic status (SES),
demographics, or geography.
Healthy People 2030: National health objectives aimed at improving the health of all
Americans by encouraging collaboration across sectors, guiding people toward making
informed health decisions, and measuring the effects of prevention activities.
Inclusion: Both the meaningful involvement of a community’s members in all stages of the
program process and the maximum involvement of the target population that the intervention
will benefit. Inclusion ensures that the views, perspectives, and needs of affected communities,
care providers, and key partners are considered.
Indirect Costs: Costs that are incurred for common or joint objectives and not readily and
specifically identifiable with a particular sponsored project, program, or activity; nevertheless,
these costs are necessary to the operations of the organization. For example, the costs of
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operating and maintaining facilities, depreciation, and administrative salaries generally are
considered indirect costs.
Intergovernmental Review: Executive Order 12372 governs applications subject to
Intergovernmental Review of Federal Programs. This order sets up a system for state and local
governmental review of proposed federal assistance applications. Contact the state single point
of contact (SPOC) to alert the SPOC to prospective applications and to receive instructions on
the State’s process. Visit the following web address to get the current SPOC list:
https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review_SPOC_01_2018_OFFM.pdf
Letter of Intent (LOI): A preliminary, non-binding indication of an organization’s intent to
submit an application.
Lobbying: Direct lobbying includes any attempt to influence legislation, appropriations,
regulations, administrative actions, executive orders (legislation or other orders), or other
similar deliberations at any level of government through communication that directly expresses
a view on proposed or pending legislation or other orders, and which is directed to staff
members or other employees of a legislative body, government officials, or employees who
participate in formulating legislation or other orders. Grass roots lobbying includes efforts
directed at inducing or encouraging members of the public to contact their elected
representatives at the federal, state, or local levels to urge support of, or opposition to, proposed
or pending legislative proposals.
Logic Model: A visual representation showing the sequence of related events connecting the
activities of a program with the programs’ desired outcomes and results.
Maintenance of Effort: A requirement contained in authorizing legislation, or applicable
regulations that a recipient must agree to contribute and maintain a specified level of financial
effort from its own resources or other non-government sources to be eligible to receive federal
grant funds. This requirement is typically given in terms of meeting a previous base-year dollar
amount.
Memorandum of Understanding (MOU) or Memorandum of Agreement
(MOA): Document that describes a bilateral or multilateral agreement between parties
expressing a convergence of will between the parties, indicating an intended common line of
action. It is often used in cases where the parties either do not imply a legal commitment or
cannot create a legally enforceable agreement.
Nonprofit Organization: Any corporation, trust, association, cooperative, or other organization
that is operated primarily for scientific, educational, service, charitable, or similar purposes in
the public interest; is not organized for profit; and uses net proceeds to maintain, improve, or
expand the operations of the organization. Nonprofit organizations include institutions of higher
educations, hospitals, and tribal organizations (that is, Indian entities other than federally
recognized Indian tribal governments).
Notice of Award (NoA): The official document, signed (or the electronic equivalent of
signature) by a Grants Management Officer that: (1) notifies the recipient of the award of a
grant; (2) contains or references all the terms and conditions of the grant and Federal funding
limits and obligations; and (3) provides the documentary basis for recording the obligation of
Federal funds in the HHS accounting system.
Objective Review: A process that involves the thorough and consistent examination of
applications based on an unbiased evaluation of scientific or technical merit or other relevant
aspects of the proposal. The review is intended to provide advice to the persons responsible for
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making award decisions.
Outcome: The results of program operations or activities; the effects triggered by the program.
For example, increased knowledge, changed attitudes or beliefs, reduced tobacco use, reduced
morbidity and mortality.
Performance Measurement: The ongoing monitoring and reporting of program
accomplishments, particularly progress toward pre-established goals, typically conducted by
program or agency management. Performance measurement may address the type or level of
program activities conducted (process), the direct products and services delivered by a program
(outputs), or the results of those products and services (outcomes). A “program” may be any
activity, project, function, or policy that has an identifiable purpose or set of objectives.
Period of performance –formerly known as the project period - : The time during which the
recipient may incur obligations to carry out the work authorized under the Federal award. The
start and end dates of the period of performance must be included in the Federal award.
Period of Performance Outcome: An outcome that will occur by the end of the NOFO’s
funding period
Plain Writing Act of 2010: The Plain Writing Act of 2010 requires that federal agencies use
clear communication that the public can understand and use. NOFOs must be written in clear,
consistent language so that any reader can understand expectations and intended outcomes of
the funded program. CDC programs should use NOFO plain writing tips when writing NOFOs.
Program Strategies: Strategies are groupings of related activities, usually expressed as general
headers (e.g., Partnerships, Assessment, Policy) or as brief statements (e.g., Form partnerships,
Conduct assessments, Formulate policies).
Program Official: Person responsible for developing the NOFO; can be either a project officer,
program manager, branch chief, division leader, policy official, center leader, or similar staff
member.
Public Health Accreditation Board (PHAB): A nonprofit organization that works to promote
and protect the health of the public by advancing the quality and performance of public health
departments in the U.S. through national public health department
accreditation http://www.phaboard.org.
Social Determinants of Health: Conditions in the environments in which people are born, live,
learn, work, play, worship, and age that affect a wide range of health, functioning, and qualityof-life outcomes and risks.
Statute: An act of the legislature; a particular law enacted and established by the will of the
legislative department of government, expressed with the requisite formalities. In foreign or
civil law any particular municipal law or usage, though resting for its authority on judicial
decisions, or the practice of nations.
Statutory Authority: Authority provided by legal statute that establishes a federal financial
assistance program or award.
System for Award Management (SAM): The primary vendor database for the U.S. federal
government. SAM validates applicant information and electronically shares secure and
encrypted data with federal agencies' finance offices to facilitate paperless payments through
Electronic Funds Transfer (EFT). SAM stores organizational information,
allowing www.grants.gov to verify identity and pre-fill organizational information on grant
applications.
Technical Assistance: Advice, assistance, or training pertaining to program development,
implementation, maintenance, or evaluation that is provided by the funding agency.
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Work Plan: The summary of period of performance outcomes, strategies and activities,
personnel and/or partners who will complete the activities, and the timeline for completion. The
work plan will outline the details of all necessary activities that will be supported through the
approved budget.
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| File Type | application/pdf |
| File Title | Announcement Module |
| File Modified | 2020-04-08 |
| File Created | 2019-11-13 |