**Continuation Guidance -- Budget Year Five**

**Appendix 5**

**Direct Assistance Information**

1\. **Direct Assistance (Contracts and Task Orders):**

a.  To obligate Direct Assistance funds in an amount of less than
    \$100,000, each applicant must submit a Performance-based Statement
    of Work for each contract or task order supported by Direct
    Assistance Funding.

b.  To obligate Direct Assistance funds in an amount greater than
    \$100,000, but less than \$500,000, each applicant must submit the
    following items for each contract or task order supported by Direct
    Assistance funding:

-   **Performance-based Statement of Work**: The Division of State and
    Local Readiness maintains a variety of statement of work templates
    available to any applicant upon request. Although performance-based
    statements of work are tailored to the specifics of each project, it
    should contain these common elements:

    -   Background - general, non-technical terms and explains why the
        acquisition is required; its relationship to past, current, or
        future projects; summary of statutory and applicable program
        authorities and regulations;

    -   Project Objective -- a succinct statement of the purpose of the
        acquisition; outlining expected results; and anticipated
        benefits.

    -   Scope of Work -- an overall, non-technical description of the
        work to be performed; expands upon project objectives, while
        avoiding going into all of the details required. Identifies and
        summarizes various phases of the projects; define limits in
        terms of specific objectives, time, special provisions, or
        limitations. The Scope of Work must be consistent with the
        detailed requirements.

    -   Detailed Technical Requirements -- Clearly and precisely
        describe the work in terms of **what** is to be the required
        output rather than either **how** the work will be accomplished
        or the number of hours to be provided. Provide requirements that
        do not limit a contractor to providing a specific product or
        service, rather the contractor is provided with the objectives
        to be accomplished, the end goal, or the desired achievement,
        including all pertinent information needed for a contractor or
        vendor to submit a proposal. As the contractor is, being hired
        based upon their expertise and ability to perform, the
        performance-oriented requirements statement of work places
        maximum responsibility for performance on the contractor.
        Identify any budgetary, environmental, or other constraints.
        Clearly and firmly define and the criteria for acceptance for
        all end supplies or deliverables associated with the contract.

    -   Reporting Schedule -- Specify how the contractor shows that it
        has fulfilled it obligations. Clearly identify the
        performance-based criteria to be used by the Government for
        acceptance. Define the mechanism by which the contractor can
        demonstrate progress and compliance with the requirements, and
        present any problems it may have encountered. The preparation
        and submission of technical and financial progress reports on a
        timely basis reflect on a contractor's efforts to certify
        satisfactory progress. Specific requirements to submit periodic
        financial and technical progress reports, to include format and
        templates will be provided by the Division of State and Local
        Readiness.

    -   Special Consideration -- Include all and any information that
        does not fit into one of the other sections of the statement of
        work.

    -   References -- Provide a detailed list and description of any
        studies, reports, and other data referred to elsewhere in the
        statement of work.

-   **Independent Government Cost Estimate:** the government's estimate
    of the costs associated with a particular contract project. The cost
    estimate determines the amount of money that should be set aside for
    funding the project and the cost estimate serves as a standard to
    which the offeror's costs or price proposals will be compared when
    the offeror's proposal is evaluated. The cost estimate includes
    direct costs (i.e., labor, material, travel, per diem, printing,
    consultants, etc.) and indirect costs (i.e., fringe benefits,
    overhead, and general and administrative expense rates). This is the
    government's assessment of the probable cost of the supplies or
    services to be acquired and serves as a basis for determining the
    reasonableness of an offeror's proposed costs and understanding of
    the statement of work. The grant applicant may request assistance in
    developing a cost estimate from their project officer in the
    Division of State and Local Readiness.

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-   **Technical Evaluation Factors:** Clearly states the factors that
    will be used in evaluating the proposals and the relative importance
    of each technical factor. Given the relationship that exists between
    the performance-based statement of work and technical evaluation
    factors, both are prepared simultaneously. The technical evaluation
    factors identify the characteristics or attributes that are required
    to perform the functions necessary to accomplish the
    performance-based objectives. The Division of State and Local
    Readiness has a Technical Evaluation Factors template available upon
    request.

-   **Sources of Solicitation** (optional): A list of potential vendors
    and contractors that have the capability and expertise in the
    specific field of interest associated your specific project. In
    developing this list, given particular importance to each source's
    technical capability, physical resources, experience in a given
    area, and performance history. If you need assistance in developing
    a Sources of Solicitation, please contact Gregory Lanman in the
    Division of State and Local Readiness at (404) 639-7127.

-   **Quality Assurance Surveillance Plans**: These plans must recognize
    the responsibility of the contractor to carry out its quality
    control obligations and must contain measurable inspections and
    acceptance criteria corresponding to the performance standards
    contained in the original performance-based statement of work. This
    plan must focus on the level of performance required by the
    performance-based statement of work, rather than the methodology
    used by the contractor to achieve that level of performance. The
    plan may also include:

    -   technical progress and financial status reports (already a
        requirement for all direct assistance projects);

    -   site visits to evaluate contract performance against scheduled
        or reported performance;

    -   review of invoices and vouchers to assess reasonableness of
        costs claimed and relate the total expenditures to the physical
        progress of the contract, based on monitoring activities (i.e.,
        site visits, progress reports, etc.)

2\. Please submit the following documents, electronically, to Gregory
Lanman in the Division of State and Local Readiness at <GHL2@cdc.gov>:

a.  Contract**/Task Order less than \$100,000**: Submit a
    performance-based statement of work as described and outlined in
    this appendix.

b.  **Contract/Task Order greater than \$100,000, but less than
    \$500,000**: Submit a performance-based statement of work;
    independent cost estimate; technical evaluation factors; sources of
    solicitation; and quality assurance surveillance plan as described
    and outlined in this appendix.

c.  If you are considering a contract or task order in an amount larger
    than \$500,000; please contact Gregory Lanman in the Division of
    State and Local Readiness at (404) 639-7127 as soon as possible.

3\. Upon receipt of each contract/task order package, the Division of
State and Local Readiness will obtain proposals and quotes for the
requested services, supplies, or equipment through federal contract
vehicles. The grantee will receive the proposals for review and
selection according to their technical evaluation factors. Contract/task
order awards will be based upon your evaluation criteria and selection
decision.

4\. The Division of State and Local Readiness will obligate all Direct
Assistance funding and will assume an active partnership as part of your
Quality Assurance Surveillance Plan. This partnership will include
oversight of the contract/task order, monitoring contract/task order
expenditures and funding balances, and by coordinated site visits by the
Project Officers of the Division of State and Local Readiness.

5\. For additional information or if you have any questions, please
contact Gregory Lanman in the Division of State and Local Readiness at
(404) 639-7127 or by email at <GHL2@cdc.gov>

6\. **Direct Assistance (Personnel)**:

a.  Beginning in fiscal year 2004, CDC personnel will be available to
    provide on-site assistance to state, territorial and local public
    health agencies in the form of Direct Assistance awards. A limited
    number of Direct Assistance staff will be available in fiscal
    year 2004. However, CDC is preparing to expand the program
    significantly in fiscal year 2005. Placement of these DA personnel
    will be based on the needs of host agencies in a variety of public
    health disciplines, including public health management, laboratory
    science, epidemiology, health communications, and environmental
    health.

b.  Deployment of direct assistance personnel associated with this
    cooperative agreement will be coordinated through new CDC's Public
    Health Readiness Field Program. Management oversight and
    administrative support for the Public Health Readiness Field Program
    will be provided by the Field Services activity in the Office of
    Terrorism Preparedness and Emergency Response.

c.  All Public Health Readiness Field Program staff will receive
    training in critical aspects of public health preparedness and
    emergency response to prepare them to respond to local, state,
    regional and national public health emergencies. The Public Health
    Readiness Field Program will coordinate and supplement the
    preparedness functions of the various field programs at CDC,
    including specific positions in the Career Epidemiology Field
    Officers (operated by Epidemiology Program Office) and the
    immunization field staff (operated by the National Immunization
    Program). In addition, the Public Health Readiness Field Program
    will include the BioWatch program (operated by the National Center
    for Infectious Disease) and a **new cadre of public health
    specialists.**

d.  Requests for Public Health Readiness Field Program assignees during
    this budget period should be included in the budget and budget
    justification sections of your annual funding application. Direct
    Assistance Personnel costs will be based on published pay and
    allowances/reimbursement rates established by the Office of
    Personnel Management and the CDC's Human Resource Management Office.
    The value of personnel for the budget period will be deducted from
    the amount of financial assistance that would otherwise be made
    available to the recipient under the applicable allocation, formula,
    or other determination of award amount but will be deemed to be part
    of the award and to have been paid to the recipient.

e.  Public Health Readiness Field Program personnel detailed to a
    recipient remain Federal employees and are subject to increases,
    adjustments, and any other benefits that would otherwise apply.
    Provision for changed costs will be negotiated with the recipient in
    advance as this may change the amount of financial assistance
    provided. Recipients will be instructed as to the process and timing
    for submitting travel authorizations and claims for reimbursement as
    well as other requests to incur costs or be reimbursed for costs
    related to personnel details. Recipients shall maintain
    documentation of payments for in-state and local travel costs and
    other payments on behalf of detailees as grant-related records.
    These records are subject to review and audit by or on behalf of
    CDC.

f.  Direct Assistance Personnel assigned through the Public Health
    Readiness Field Program are subject to the provisions of the
    existing "Agreement to Detail" that defines the respective
    responsibilities of CDC and recipients regarding Direct Assistance
    assignments of CDC personnel. CDC will review this agreement with
    recipient officials upon execution of the detail.

g.  If you are interested in the Direct Assistance staffing option,
    please contact your Division of State and Local Readiness project
    officer to discuss your specific staffing needs and how to reflect
    the request for Direct Assistance personnel in your application. Be
    prepared to discuss the specific duties and responsibilities
    proposed for the Direct Assistance assignee and where the assignee
    would work in your organizational structure.

7\. For additional information about the Public Health Readiness Field
Program and how to request a direct assistance assignee, please contact
Glen Koops, Associate Director for Field Services, Office of Terrorism
Preparedness and Emergency Response at (404) 639-7530 or by email at
<gak3@cdc.gov>