Modified Technical Specs and Performance Measures Guidance OT21-2103

Form approved:
OMB Control Number: 0920-1282
Expiration date: 01/31/2023

CDC estimates the average public reporting burden for this collection of information as 140 hours annually per response from each recipient,
including the time for reviewing instructions, searching existing data/information sources, gathering and maintaining the data/information needed,
and completing and reviewing the collection of information. An agency may not conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a currently valid OMB control number. Send comments regarding this burden estimate or any other aspect
of this collection of information, including suggestions for reducing this burden to
CDC/ATSDR Information Collection Review Office, 1600 Clifton Road NE, MS D-74, Atlanta, Georgia 30333; ATTN: PRA (0920-1282)

OT21-2103: National Initiative to Address COVID-19 Health Disparities Among
Populations at High-Risk and Underserved, Including Racial and Ethnic
Minority Populations and Rural Communities
Performance Measures Guidance v2.0
CDC-RFA-OT21-2103
Version 2.0 – August 2022

1

Contents
Introduction and Purpose ........................................................................................................................................................................................... 3
Organization of Guidance ........................................................................................................................................................................................... 5
Intended Use of Guidance .......................................................................................................................................................................................... 5
Performance Measure Detailed Guidance ................................................................................................................................................................. 6
Measure 1.1: Number of COVID-19 mitigation and prevention resources and services delivered in support of populations that are
underserved and disproportionately affected by type .......................................................................................................................................... 6
Measure 1.4: Delivery and access to testing resources and services in support of populations that are underserved and disproportionately
affected ................................................................................................................................................................................................................... 8
Measure 1.5: Delivery and access to vaccination resources and services in support of populations that are underserved and
disproportionately affected .................................................................................................................................................................................. 13
Measure 2.1: Number of improvements to data collection, quality, and reporting capacity for recipients, partners, and agencies related to
COVID-19 health disparities and inequities .......................................................................................................................................................... 18
Measure 3.1: Number of improvements to infrastructure to address COVID-19 health disparities and inequities ........................................... 20
Measure 4.1: Number and proportion of new, expanded, or existing partnerships mobilized to address COVID-19 health disparities and
inequities .............................................................................................................................................................................................................. 22
Appendix A: Additional Partnerships Guidance ....................................................................................................................................................... 25
Appendix B: Optional Measures ............................................................................................................................................................................... 26
Measure 1.2: Number of COVID-19/SARS-CoV-2 tests completed by test type, results, and race and ethnicity ............................................... 26
Measure 1.3: Caseload, number of cases per case investigator and number of contacts per contact tracer during the data collection period
.............................................................................................................................................................................................................................. 29

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Introduction and Purpose
The National Initiative to Address COVID-19 Health Disparities Among Populations at High-Risk and Underserved, Including Racial and Ethnic
Minority Populations and Rural Communities provides funding to address COVID-19 and advance health equity (e.g., through strategies,
interventions, and services that consider systemic barriers and potentially discriminatory practices that have put certain groups at higher risk for
diseases like COVID-19) in racial and ethnic minority groups and racial populations within state, local, US territorial, and freely associated state
health jurisdictions.
The Consolidated Appropriations Act, 2021 (P.L. 116-260), which contained the Coronavirus Response and Relief Supplemental Appropriations
Act, 2021 (P.L. 116-260, Section 2, Division M) provided funding for strategies to improve testing capabilities and other COVID-19 response
activities in populations that are disproportionately affected and underserved, including racial and ethnic minority groups and people living in
rural communities.
Recipient work plans focus on one or more of the following strategies that align with grant performance measures:

OT21-2103 Strategy
Strategy 1: Expand existing and/or develop new
mitigation and prevention resources and services to
reduce COVID-19-related disparities among
populations at higher risk and that are underserved

Corresponding Performance Measure(s)
Measure 1.1: Number of COVID-19 mitigation and prevention resources and
services delivered in support of populations that are underserved and
disproportionately affected by type
Measure 1.2: Number of COVID-19/SARS-CoV-2 tests completed by
test type, results and race and ethnicity [NOT REQUIRED]
Measure 1.3: Caseload, number of cases per case investigator, and
number of contacts per contact tracer during the data collection period [NOT
REQUIRED]
Measure 1.4: Delivery and access to testing resources and services in
support of populations that are underserved and disproportionately affected
Measure 1.5: Delivery and access to vaccination resources and services in
support of populations that are underserved and disproportionately
affected

3

Strategy 2: Increase/improve data collection and
reporting for populations experiencing a
disproportionate burden of COVID-19 infection, severe
illness, and death to guide the response to the COVID19 pandemic

Measure 2.1: Number of improvements to data collection, quality, and
reporting capacity for recipients, partners, and agencies related to COVID-19
health disparities and inequities

Strategy 3: Build, leverage, and expand infrastructure
support for COVID-19 prevention and control among
populations that are at higher risk and underserved

Measure 3.1: Number of improvements to infrastructure to address COVID19 health disparities and inequities

Strategy 4: Mobilize partners and collaborators to
advance health equity and address social
determinants of health as they relate to COVID-19
health disparities among populations at higher risk
and that are underserved

Measure 4.1: Number and proportion of new, expanded, or existing
partnerships mobilized to address COVID-19 health disparities and inequities

The performance measures associated with this grant are intended to be used by CDC and recipients to:
•
•
•

Monitor implementation and progress toward achieving intended outcomes
Demonstrate accountability to interested parties (e.g., funders, public) by showing how funds are being spent
Maximize learning opportunities associated with the implementation and impacts of this grant

Recipients are not required to work in all four strategy areas, and therefore they are expected to report only on the measures that align with
their selected strategies. The reporting is menu style, where recipients report only on measures for the strategies and activities they are working
within. The exception to this is the partnerships measure (4.1), where all recipients who engage partners to support any of the strategies will
report. Performance measures will be reported at the strategy level, not for individual activities under each strategy. Challenges or context
related to performance measures can be expanded upon in the corresponding “Challenges or other information related to measure X.X” field.
To avoid double-counting, please do not report the same outputs from activities under different performance measures. Align to the measure
that best represents the output. For example, if an activity relies on a new partnership to provide resources for expanded testing, you may count
the testing as a resource or service under measure 1.1 and the partnership under measure 4.1.
CDC uses performance measures for OT21-2103 to monitor and evaluate the outcomes of this grant. CDC understands there may be some
overlap in data from various funding streams. Please pay attention to the specifics of what is required for OT21-2103 measures and ensure data

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related to this grant is reported. To support recipients in reporting for this funding stream, CDC will update performance measures and guidance
based on data validation, quality checks, and input from recipients.
CDC recognizes that there are limitations to using performance measures to evaluate the scope of work being conducted by recipients,
especially considering the flexible nature of this grant and associated contextual factors. Because of this, other methods of collecting
information will be used to demonstrate performance more robustly (e.g., work plan updates, success stories, progress calls, focused evaluation
projects). CDC will rely on a combination of these sources to assess progress throughout the period of performance.
What’s New in Performance Measures Guidance v2.0:
•
•
•
•

Pages 8–17: Addition of measures 1.4 and 1.5 to better capture testing and vaccination support resources and services.
Pages 19 & 21: Addition of subcategories for measures 2.1 and 3.1.
Page 25: Expanded guidance on defining and reporting partnerships.
Page 26: Measures 1.2 and 1.3 are now optional for all recipients.

Organization of Guidance
For each measure, the following components are described:
•
•
•
•
•
•

•
•
•

Measure: Name of measure
Applicable recipients: Recipients the measure applies to
Rationale: Provides context and reasoning for monitoring this measure
Data elements: Specific variables (e.g., numerator, denominator) that will be reported by recipient or monitored by CDC
Additional guidance: Additional information to help understand the measure, such as definitions for specific terms, inclusion/exclusion
criteria, limitations to the measure, and other applicable information
Target: Recipients will provide period of performance targets for their applicable measures during the initial reporting cycle. Recipients
will then update progress toward their target quarterly. Targets will be used to provide guidance to recipients on the desired level of
performance from CDC. They will also be used in discussion to identify gaps and opportunities to provide technical assistance.
Reporting frequency: Specifies how often the measure will be reported
Reporting mechanism: Describes how data will be reported
Additional considerations: CDC will provide suggestions on how to report certain measures if recipients are able to provide more robust
information.

Intended Use of Guidance
We encourage recipients to review this guidance and share it with relevant staff members in each jurisdiction who are involved in reporting
performance measures. This information is intended to ensure that recipients understand each measure and how it may apply to their work, as
well as how they will report on measures throughout the period of performance.
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Measures and guidance may be modified during the period of performance because of shifts in priorities and to improve performance
monitoring. More data may be needed for measures, and there is the potential that new measures will be developed. CDC will make every effort
to keep changes to a minimum.
Recipients will use the REDCap system to report their performance measures quarterly during the performance period. Offline Collaboration
Aids are available that can be shared with partners but only data entered into REDCap will be accepted by CDC. If territories and freely
associated states are unable to report in the REDCap system due to connectivity issues, please contact the designated project officer. For
questions related to REDCap, reach out to [email protected].
If recipients have questions related to these performance measures, contact [email protected] or the designated project officer.

Performance Measure Detailed Guidance
Measure 1.1: Number of COVID-19 mitigation and prevention resources and services delivered in support of populations that are
underserved and disproportionately affected by type
Applicable Recipients

All OT21-2103 recipients working within Strategy 1 (Expand existing and/or develop new mitigation and
prevention resources and services) will calculate and report on this measure.

Rationale

To reduce COVID-19 health disparities, it is critical to ensure equitable access to COVID-19 mitigation and
prevention resources and services, such as personal protective equipment, contact tracing, testing, quarantine
and isolation, and vaccination. Source: CDC-RFA-OT21-2103
CDC will use these data to understand how many resources and services are delivered for COVID-19 mitigation
and prevention in support of populations that are underserved and disproportionately affected. The specific type
of resource and/or service will allow for understanding the range and frequency of the varying activities
delivered.

Data Elements

•
•

Number: Count of types of COVID-19 mitigation and prevention resources and services delivered in support of
underserved and disproportionately affected populations
Type: Categorical description of COVID-19 mitigation and prevention resources and services delivered in
support of underserved and disproportionately affected populations
o Including, but not limited to:
▪ Vaccination support (excluding administration of vaccines)
▪ Testing
▪ Contact tracing
▪ Case investigation
▪ Quarantine and isolation
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▪
▪
▪
▪
▪
▪
▪
Additional Guidance

Preventive care and disease management (excluding provision of clinical care)
Personal protective equipment (PPE)
Wrap-around services related to COVID-19
Evidence-based policies, systems, and environmental strategies
Other navigation and support services to address COVID-19 risk factors
Communications about COVID-19 risk factors and mitigation/prevention
Plans for countermeasures and adaptation services (e.g., updating or developing discrete plan, policy,
protocol, assessment, or strategy for countermeasures and mitigation)

It is recognized that all COVID-19 prevention resources and services listed above under “type” encompass
evidence-based policies, systems, and strategies. When reporting under the “evidence-based policies, systems,
and environmental strategies” category type, please report resources and services not already counted by the
other types of resources and services in the list.
Vaccination and vaccine support includes coordination activities related to administration of vaccines. Recipients
should not count actual vaccine administration and rates, as grant funds are not allowable for that purpose.
CDC is not asking for a count of individuals, items purchased, or population reach for this measure. Please
provide counts of the actual resources and services delivered within the categorical types listed under Data
Elements.
• Example: if a recipient has three different services related to vaccination (e.g., mobile clinic, on-site work
vaccine sites, vaccine sites at a local fair), that will count as 3 resources or services provided under the
“Vaccination and vaccine support” category.

Target

Report counts of resources and services delivered in the quarter(s) they are completed or realized within.
Target to be set by recipient during initial reporting cycle for the two-year period of performance. Targets should
be aggregate counts, not percentages. Recipients can update targets throughout the period of performance with
proper justification and approval. Changes should be limited but CDC understands this is an evolving situation. To
update a target please follow these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.

Reporting Frequency

Quarterly
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Reporting Mechanism

REDCap

Additional
Considerations

If recipients have the capacity to report the number and type of resource/service at the county, parish, tribal
land, census track, or metropolitan statistical area (MSA) level, please provide that information to the lowest
geographical level possible. Sharing the lowest geographic level at which recipients can report data helps CDC
understand geographic reporting capacity and allow for unique geographic situations across recipients.

Measure 1.4: Delivery and access to testing resources and services in support of populations that are underserved and
disproportionately affected
Applicable Recipients

Recipients who are using OT21-2103 funds to support COVID-19 testing will calculate and report on this measure.
If recipients are not using OT21-2103 funds to implement or contribute to testing, they do not need to report on
this measure.

Rationale

A major purpose of this funding is to build capacity and infrastructure for testing services in populations of focus.
This measure will gather information on where, how, for whom, and with whom recipients deliver testing
resources and services. Components will help CDC better understand how recipients deliver testing resources and
services to better serve populations of focus in their jurisdictions.

Data Elements

1. Number of testing resources and services delivered in support of populations that are underserved and
disproportionately affected
2. Populations of focus that were supported by testing resources and services
a. Number of testing resources and services delivered to population of focus
b. Settings where testing resources and services were delivered to populations of focus
c. How testing resources and services were delivered to populations of focus
d. Partners mobilized to delivered testing resources and services to populations of focus
Data elements 2a-d will be reported for each relevant population of focus listed below. Please share challenges
around reporting by racial and ethnic populations or additional racial and ethnic breakdowns used in the
“Challenges or other information related to measure 1.4” field. Recipients are required to report by the following
populations if they are using funds for testing services to support them:
•
•
•
•

Alaska Native persons
American Indian persons
Asian persons
Black or African American persons
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•
•
•
•
•
•

Hispanic, Latino or Latinx persons
Native Hawaiian or Other Pacific Islander persons
White persons
People of multiple races
People living in rural areas
Unknown

Recipients also have the option to report by other populations of focus that are supported through testing
services. Reporting by these populations is optional; recipients are only required to report on racial and ethnic
populations and rural populations listed above.
•
•
•
•
•
•
•
•
•
•
•
•
Additional Guidance

People experiencing poverty
People experiencing homelessness
Non-US-born persons
People with disabilities
Adults aged 65+
People with substance use disorders
LGBTQ+ persons
People living in other congregate housing
People who are incarcerated
Youth and young adults
People experiencing mental illness
People in religious minority groups

This example illustrates on how data elements will be collected. Refer to REDCap job aids for more details on data
entry.
1. Number of testing resources and services delivered in support of populations that are underserved and
disproportionately affected: __10__
2. Did you deliver testing resources and services to the following populations of focus? If yes, provide the
following:
a. Alaska Native persons: Yes
i.
Number of testing resources and services delivered to this population: __3_
ii.
Settings where testing resources and services were delivered to this population: [Select
percentage range for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. Childcare center/school 
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iii.

iv.

ii. Community-based organization: 26-50% 
iii. Correctional facility or institution 
iv. Faith-based organization (e.g., place of worship): 1-25% 
v. Home 
vi. Local health department: 1-25%   
vii. Medical or clinical site (e.g., hospital) 
viii. Recreational facility 
ix. Senior residence or long-term care facility 
x. Shelter/group home 
xi. State health department 
xii. Tribal nation or area 
xiii. University or college 
xiv. Worksite: 1-25%   
xv. Governmental organizations focused on non-health services
xvi. Community
xvii. Other—please specify
How were testing resources and services delivered to this population: [Select percentage range
for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. At-home test kits: 51-75%
ii. Testing sites: 1-25%
iii. Mobile testing
iv. Partner events
v. Other—please specify
Partners mobilized to deliver testing resources and services to this population: [Select percentage
range for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. Academic institutions
ii. Asian American and Pacific Islander-Serving institution
iii. Community-based and civic organizations: 51-75%
iv. Correctional facilities and institutions
v. Faith-based organizations
vi. Healthcare providers: 1-25%
vii. Health-related organizations: 1-25%
viii. Local governmental agencies and community leaders
ix. Nongovernmental organizations
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b.
c.
d.
e.
f.
g.
h.
i.
j.

x. Rural health clinics and critical access hospitals governmental organizations focused on
non-health services
xi. Schools/school districts
xii. Social services providers and organizations, including those that address social
determinants of health
xiii. State offices of rural health or equivalent, state rural health associations
xiv. Tribes, tribal organizations
xv. State health department
xvi. Local health department: 1-25%
xvii. Council, community group, coalition, or other working group
xviii. Mental or behavioral health
xix. Federal agency (other than CDC)
xx. Corporation, industry, or private sector
American Indian persons: Yes/No
Asian persons: Yes/No
Black or African American persons: Yes/No
Hispanic, Latino or Latinx persons: Yes/No
Native Hawaiian or Other Pacific Islander persons: Yes/No
White persons: Yes/No
People of multiple races: Yes/No
People living in rural areas: Yes/No
Unknown: Yes/No

For data elements 2a.ii, iii, iv—settings, how services are delivered, and partners mobilized in the example
above—please select the closest percentage range. Ranges are provided as options because exact percentages
might be difficult to calculate. Percentage totals may exceed 100% depending on the work recipients are
implementing.
How to estimate percentage range:
• Denominator: The specific number of testing resources and services delivered for each population,
separately (e.g., 100 for American Indian persons, 300 for Native Hawaiian or Other Pacific Islander
persons).
• Numerator: The specific number of testing resources and services delivered for each population within
specific settings, by methods of delivery, and with partner types (e.g., 20 for American Indian persons

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•

Target

within Community-based organizations, 50 for Native Hawaiian or Other Pacific Islander persons through
at-home tests).
Example: If 30/100 testing resources and services were delivered to a population of focus with the
support of community-based organizations, choose 26-50% for “Community-based and civic
organizations” under Partners mobilized.

For measure 1.4, targets will be set using the following data elements that recipients are reporting on:
•
•

Total number of testing resources and services delivered in support of populations that are underserved
and disproportionately affected (data element 1)
Number of testing resources and services delivered to relevant population(s) of focus (data elements 2.a–
j.i)

Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets should
be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited, but CDC understands this is an evolving situation. To update a target, please follow
these steps:
1. Contact your project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.
Reporting Frequency

Data should be collected and reported in this manner starting in 2022 Quarter 1 (Jul-Sep 2022).

Reporting Mechanism

REDCap

Additional
Considerations

This measure is not asking for the individual or population reach of testing resources and services. It is also not
asking for counts of individual tests administered. It is asking for the number of testing resources and services
(e.g., 30) and percentage (e.g., 26-50% of 30 resources and services in school settings) supporting populations of
focus.
The Settings and Partner Type selection options in this measure align with those used in the work plans and other
reporting forms.

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Measure 1.5: Delivery and access to vaccination resources and services in support of populations that are underserved and
disproportionately affected
Applicable Recipients

Recipients who are using OT21-2103 funds to support COVID-19 vaccination support will calculate and report on
this measure. If recipients are not using OT21-2103 funds to implement or contribute to vaccination support, they
do not need to report on this measure.

Rationale

Since the release of the OT21-2103 grant, vaccination has become a primary tool for reducing COVID-19 health
disparities. This measure will gather information on where, how, for whom, and with whom recipients deliver
vaccination support resources and services. Components will help CDC better understand how recipients support
vaccination efforts to better serve populations of focus in their jurisdictions.

Data Elements

1. Number of vaccination resources and services delivered in support of populations that are underserved and
disproportionately affected
2. Populations of focus that were supported by vaccination resources and services
a. Number of vaccination resources and services delivered to population of focus
b. Settings where vaccination resources and services were delivered to populations of focus
c. How vaccination resources and services were delivered to populations of focus
d. Partners mobilized to delivered vaccination resources and services to populations of focus
Data elements 2a–d will be reported for each population of focus listed below. Please share challenges around
reporting by racial and ethnic populations or additional racial and ethnic breakdowns used in the “Challenges or
other information related to measure 1.5” field. Recipients are required to report by the following populations if
they are using funds for vaccination services to support them:
•
•
•
•
•
•
•
•
•
•

Alaska Native persons
American Indian persons
Asian persons
Black or African American persons
Hispanic, Latino or Latinx persons
Native Hawaiian or other Pacific Islander persons
White persons
People of multiple races
People living in rural areas
Unknown

13

Recipients also have the option to report by other populations of focus that they are supporting through
vaccination services. Reporting by these populations are optional; recipients are only required to report on the
racial and ethnic populations and rural populations listed above.
•
•
•
•
•
•
•
•
•
•
•
•
Additional Guidance

People experiencing poverty
People experiencing homelessness
Non-US-born persons
People with disabilities
Adults aged 65+
People with substance use disorders
LGBTQ+ persons
People living in other congregate housing
People who are incarcerated
Youth and young adults
People experiencing mental illness
People in religious minority groups

This measure is not collecting data on vaccine doses administered or distributed, as grant funds are not
allowable for those purposes. Vaccination support includes coordination activities related to administration of
vaccines such as education and outreach and supporting vaccine clinics.
This example illustrates how data elements will be collected. Refer to REDCap job aids for more details on data
entry.
1. Number of vaccination resources and services delivered in support of populations that are underserved and
disproportionately affected: __15__
2. Did you deliver vaccination resources and services to the following populations of focus? If yes, provide the
following:
a. Alaska Native persons: Yes
i.
Number of vaccination resources and services delivered to this population: _8__
ii.
Settings where vaccination resources and services were delivered to this population: [Select
percentage range for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. Childcare center/school 
ii. Community-based organization: 26-50%
iii. Correctional facility or institution 
iv. Faith-based organization (e.g., place of worship) 
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iii.

iv.

v. Home 
vi. Local health department 
vii. Medical or clinical site (e.g., hospital): 1-25% 
viii. Recreational facility 
ix. Senior residence or long-term care facility 
x. Shelter/group home: 26-50% 
xi. State health department 
xii. Tribal nation or area 
xiii. University or college 
xiv. Worksite 
xv. Governmental organizations focused on non-health services
xvi. Community
xvii. Other—please specify
How were vaccination resources and services delivered to this population: [Select percentage
range for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. Vaccination education and outreach: 51-75%
ii. Vaccination clinic support (e.g., workplace, community): 1-25%
iii. At-home vaccination support
iv. Partner events
v. Other—please specify
Partners mobilized to deliver vaccination resources and services to this population: [Select
percentage range for each: 0%, 1-25%, 26-50%, 51-75%, 76-99%, 100%]
i. Academic Institutions
ii. Asian American and Pacific Islander-Serving institution
iii. Community-based and civic organizations: 51-75%
iv. Correctional facilities and institutions
v. Faith-based organizations
vi. Healthcare providers: 26-50%
vii. Health-related organizations
viii. Local governmental agencies and community leaders
ix. Nongovernmental organizations: 1-25%
x. Rural health clinics and critical access hospitals governmental organizations focused on
non-health services
xi. Schools/school districts
15

b.
c.
d.
e.
f.
g.
h.
i.
j.

xii. Social services providers and organizations, including those that address social
determinants of health
xiii. State offices of rural health or equivalent, state rural health associations
xiv. Tribes, tribal organizations
xv. State health department
xvi. Local health department
xvii. Council, community group, coalition, or other working group
xviii. Mental or behavioral health
xix. Federal agency (other than CDC)
xx. Corporation, industry, or private sector
American Indian persons: Yes/No
Asian persons: Yes/No
Black or African American persons: Yes/No
Hispanic, Latino or Latinx persons: Yes/No
Native Hawaiian or Other Pacific Islander persons: Yes/No
White persons: Yes/No
People of multiple races: Yes/No
People living in rural areas: Yes/No
Unknown: Yes/No

For data elements 2a.ii, iii, and iv—settings, how services are delivered, and partners mobilized in the example
above—please select the closest percentage range. We provided ranges because we understand that exact
percentages might be difficult to calculate. Percentage totals may exceed 100% depending on the work recipients
are implementing.
How to estimate percentage range:
• Denominator: The specific number of testing resources and services delivered for each population,
separately (e.g., 100 for American Indian persons, 300 for Native Hawaiian or Other Pacific Islander
persons).
• Numerator: The specific number of testing resources and services delivered for each population within
specific settings, by methods of delivery, and with partner types (e.g., 20 for American Indian persons
within Community-based organizations, 50 for Native Hawaiian or Other Pacific Islander persons through
at-home tests).

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•

Target

Example: If 30/100 vaccination resources and services were delivered to a population of focus with the
support of community-based organizations, choose 26-50% for “Community-based and civic
organizations” under Partners mobilized.

For measure 1.5, targets will be set using the following data elements that recipients are reporting on:
•
•

Total number of vaccination resources and services delivered in support of populations that are
underserved and disproportionately affected (data element 1)
Number of vaccination resources and services delivered to relevant population(s) of focus (data elements
2.a-j.i)

Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets should
be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target, please follow
these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.
Reporting Frequency

Data should be collected and reported in this manner starting in 2022 Quarter 1 (Jul-Sep 2022).

Reporting Mechanism

REDCap

Additional
Considerations

This measure is not asking for the individual or population reach of vaccination support resources and services. It
is also not asking for counts of individual vaccines administered or distributed. It is asking for the number of
vaccination resources and services (e.g., 30) and percentage (e.g., 26-50% of 30 resources and services in Worksite
settings) supporting populations of focus.
The Settings and Partner Type selection options in this measure align with those used in the work plans and other
reporting forms.

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Measure 2.1: Number of improvements to data collection, quality, and reporting capacity for recipients, partners, and agencies
related to COVID-19 health disparities and inequities
Applicable Recipients

All OT21-2103 recipients working within Strategy 2 (Increase/improve data collection and reporting) will
calculate and report on this measure.

Rationale

Improving data systems and the collection, quality, and reporting of racial, ethnic, and rural health data for
COVID-19 prevention and control will help to better identify populations and communities disproportionately
affected, track resources distribution, and evaluate the effectiveness of advancing health equity. Improvements
to data collection, quality, and reporting capacity among recipients and related partners are fundamental
activities to reduce COVID-19 health disparities. Source: CDC-RFA-OT21-2103
CDC will use this measure to learn how and where data improvements assist in addressing COVID-19 prevention
disparities and inequities. Data improvements may include efforts to enhance data collection, quality, reporting,
and more.

Data Elements

•

•

Improvements: Data collection, data quality, or reporting capacity that is developed, established, enhanced,
maintained, increased, implemented, delivered, or otherwise made better within recipient organizations and
across relevant partner or agency organizations
o Partners may include but are not limited to community-based organizations, social services providers,
faith-based organizations, and academic institutions.
o Agencies may include but are not limited to governmental organizations focused on non-health services,
health departments, and local governmental agencies.
Improvements to data collection and reporting: Count of improvements to data collection and reporting
capacity within recipient organization and count of improvements to data collection and reporting capacity
within associated partner or agency organizations
o Including, but not limited to:
▪ Established plans for collecting and reporting timely, complete, representative, and relevant data
▪ Established, enhanced, or maintained data systems
▪ Workforce support for data collection and reporting to ensure collection of complete and
representative data (e.g., race, ethnicity, and other populations of focus)
• Support may include informational technology (IT) staff, data coordinators, analysts and
educators, modelers and other staff specifically related to data collection and reporting
• Support may be associated with the recipient’s organization or a partner organization
▪ Developed key principles and resources for collecting, reporting, and disseminating data related to
inequities and disparities
18

•

Additional Guidance

▪ Implemented improvements to testing and contact tracing data collection and reporting
▪ Developed monitoring and evaluation plans related to improving health disparities and inequities
Improvements to data quality: Count of improvements to data quality capacity within recipient organization
and count of improvements to data quality capacity within associated partner or agency organizations
o Including, but not limited to:
▪ Implemented strategies to educate on the importance of data to address disparities and inequities
▪ Developed plans for data quality assurance and improvement
▪ Delivered resources for data infrastructure and workforce in alignment with data modernization
efforts

Starting in 2022 Quarter 1, this measure will include sub-categories for each data improvement type. This will
better capture specific improvements recipients made. Please provide counts for each sub-category and REDCap
will automatically calculate aggregate improvement counts.
Improvements to data collection and reporting
• Established plans for collecting, analyzing, and reporting data
• Established, enhanced, or maintained data systems
• Workforce support for data collection, analysis, and reporting
• Developed key data principles and resources
• Implemented improvements to testing and contact tracing data
• Developed monitoring and evaluation plans
• Other
Improvements to data quality
• Implemented health equity data education efforts
• Developed plans for data quality assurance and improvement
• Data coordination within or across departments and systems
• Other
Please report all data systems and staffing related to data infrastructure improvements under this measure and
not under measure 3.1.
Report counts of improvements in the quarter they are completed or realized within.

19

Target

Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets
should be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target please follow
these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.

Reporting Frequency

Quarterly

Reporting Mechanism

REDCap

Additional
Considerations

Measure 3.1: Number of improvements to infrastructure to address COVID-19 health disparities and inequities
Applicable Recipients

All OT21-2103 recipients working within Strategy 3 (Build, leverage and expand infrastructure support) will
calculate and report on this measure.

Rationale

Sufficient workforce, infrastructure, and capacity are critical to providing equitable access to disproportionately
affected and underserved populations. This grant aims to build, leverage, and expand infrastructure capacity
within state, local, US territorial, and freely associated state health departments to ensure and expand equitable
access to COVID-19 resources and services. Source: CDC-RFA-OT21-2103
This measure will allow CDC to understand the infrastructure improvements made within jurisdictions and across
partner organizations to address COVID-19 health disparities and inequities.

Data Elements

•
•

Improvements: Infrastructure components and capacity that are new (developed or delivered something that
did not exist previously), improved (made something that existed better), or expanded (increased something
that previously existed) within recipient organizations and across relevant partner or agency organizations
Improvements to infrastructure within recipient organization: Count of improvements to infrastructure
within recipient organization
o Including, but not limited to:
20

Expanded workforce through mechanisms such as contracts/contractors, hiring employees and/or
temp workers, or bringing on volunteers (e.g., health equity roles and leadership, inclusive
workforce)
▪ Training and education delivered within recipient organization
▪ Developed or updated health equity plans
▪ Established health equity offices
▪ Expanded contact tracing and testing infrastructure
Improvements to infrastructure across relevant partner or agency organizations: Count of improvements to
infrastructure across relevant partner or agency organizations
o Including, but not limited to:
▪ Training and education delivered within the community or partner organizations
▪ Convened multisector coalitions or advisory groups
▪ Improved cross-sector coordination and systems
▪

•

Additional Guidance

Starting in 2022 Quarter 1, this measure will include sub-categories for each infrastructure improvement type.
This will better capture specific improvements recipients made. Please provide counts for each sub-category and
REDCap will automatically calculate aggregate improvement counts.
Improvements to infrastructure within recipient organization
• Expanded or enhanced workforce
• Training or education delivered within recipient organization
• Developed or updated health equity plans
• Established health equity offices
• Expanded contact tracing and testing infrastructure
• Other
Improvements to infrastructure across relevant partner or agency organizations
• Training or education delivered within community or partner organizations
• Convened multisector coalitions or advisory groups
• Improved cross-sector coordination and systems
• Other

21

Note that this measure excludes infrastructure improvements to data systems and data related workforce
support (e.g., IT specialists, data coordinators and analysts). Please report data systems infrastructure
improvements in Measure 2.1. More details on what this includes can be found in Measure 2.1 data elements.
Infrastructure improvements include those made within recipient organizations as well as those made in partner
or associated organizations.
Improvements can include newly developed, improved upon, or maintained infrastructure elements.
Recipients may count staff who are retained because of OT21-2103 funds and activities.
Target

Report counts of improvements in the quarter they are completed or realized within.
Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets
should be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target please follow
these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.

Reporting Frequency

Quarterly

Reporting Mechanism

REDCap

Additional
Considerations

Measure 4.1: Number and proportion of new, expanded, or existing partnerships mobilized to address COVID-19 health disparities
and inequities
Applicable Recipients

OT21-2103 recipients who engage partners to support any of the strategies will calculate and report on this
measure.
This measure aligns with Strategy 4: Mobilize partners and collaborators.
22

Rationale

Identifying and addressing current gaps and factors that influence COVID-19-related health disparities requires a
collaborative approach. Collaborations between recipients and key partners will broadly address health
disparities and inequities related to COVID-19. Source: CDC-RFA-OT21-2103
This measure will inform how many new, existing, or expanded partnerships are mobilized to reduce COVID-19
health disparities throughout the period of performance.

Data Elements

•

•
•

•

•

•

Additional Guidance

Mobilized: Assembled or organized to act together in a coordinated way to bring about shared outcomes.
Examples of partner mobilization include but are not limited to:
o Built community capacity with traditional and nontraditional partners
o Built and implemented cross-sectoral partnerships
o Developed mechanisms such as community advisory groups
o Identified and established collaborations with critical partners who support populations of focus
Total partnerships: Count of all new, existing, and expanded partnerships mobilized to address COVID-19
health disparities and inequities. This number will serve as the denominator in the proportion.
New partnerships mobilized: Count of new partnerships mobilized to address COVID-19 health disparities and
inequities. New partnerships include any organization that the recipient has not worked with in the past in
funded or unfunded capacities. This number will serve as the numerator of the proportion for new
partnerships mobilized.
Existing partnerships mobilized: Count of existing partnerships mobilized to address COVID-19 health
disparities and inequities. Existing partnerships include organizations that recipients are currently working
with or have worked with previously to address COVID-19 health disparities and inequities. This number will
serve as the numerator of the proportion for existing partnerships mobilized.
Expanded partnerships mobilized: Count of expanded partnerships mobilized to address COVID-19 health
disparities and inequities. Expanded partnerships include those that recipients are currently working with or
have worked with previously and will enhance through increased membership, mission, or funding. This
number will serve as the numerator of the proportion for expanded partnerships mobilized.
The proportion of partnerships will be automatically calculated in REDCap using the counts of new, existing,
and expanded partnerships as the numerators and total partnerships as the denominator. Please verify the
accuracy of these proportions.

See Appendix A for additional guidance on when to count partners as new, existing, or expanded.
Recipients should count all partnerships that are engaged with OT21-2103 under measure 4.1, even if the
partnership is in support of another strategy (e.g., Resources/Services, Data). Both funded (partially or fully) and
23

unfunded (e.g., contributing to activities) partnerships should be included when calculating and reporting this
measure.
Do not include plans, staffing, or materials in support of partnerships when reporting this measure.
Please report partnerships according to the specific “Partner Type” options provided that align with the work
plan.
If there are multiple partnerships within a coalition, report the count of individual partnerships rather than one
partnership. For example, if a jurisdiction is mobilizing a coalition that consists of eight partner organizations, this
would count as eight partnerships.
CDC recommends working internally and with partners to identify what “Partner Type” best represents the work
being done in support of OT21-2103.
Report counts of partnerships in the quarter they are completed or realized within.

Target

To avoid double counting, only count each partnership once even if partnerships evolve over the period of
performance. Provide updates of how partnerships evolve in progress reports.
Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets
should be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target please follow
these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.

Reporting Frequency

Quarterly

Reporting Mechanism

REDCap

Additional
Considerations
24

Appendix A: Additional Partnerships Guidance
The following table explains when recipients should report partnerships as new, existing, or expanded. Partnerships should only be counted
once to avoid double counting. The exception is if a reported partnership expands during the period of performance.

New Partnership

Existing Partnership

Expanded Partnership

Definition

A new partnership includes any
organization that the recipient
has not worked with in the past
in funded or unfunded capacities.
There is no pre-existing working
relationship.

Existing partnerships include
organizations that recipients are
currently working with or have
worked with previously—prior to
2103. There is a pre-existing
relationship.

Expanded partnerships include
organizations that recipients are
currently working with or have
worked with previously and that
partnership will expand through
increased membership, mission, or
funding. There is a pre-existing
relationship AND the work
conducted has changed
significantly.

How to classify in the first
quarter the partnership is
reported on

NEW Count = 1

NEW Count = 0

NEW Count = 0

EXISTING Count = 0

EXISTING Count = 1

EXISTING Count = 0

EXPANDED Count = 0

EXPANDED Count = 0

EXPANDED Count = 1

NEW Count = 0

NEW Count = 0

NEW Count = 0

EXISTING Count = 0

EXISTING Count = 0

EXISTING Count = 0

EXPANDED Count = 0 OR 1***

EXPANDED Count = 0 OR 1***

EXPANDED Count = 0 OR 1***

How to classify partnership
in subsequent quarters

***Partnership should only be counted as “expanded” if the scope of work, mission, funding, services, etc., have changed significantly from what
was documented in prior quarters.
25

Appendix B: Optional Measures
Measures 1.2 and 1.3 were required in quarters one through four for recipients using OT21-2103 funds for testing and contact tracing. Due to
the addition of measures 1.4 and 1.5 starting in 2022 Quarter 1, these measures are fully optional and are not required for any recipients. If
recipients are able and interested in continuing to report on these measures, they may do so. CDC will continue to monitor and analyze reported
data. The reporting forms and existing data will remain available in the REDCap system.

Measure 1.2: Number of COVID-19/SARS-CoV-2 tests completed by test type, results, and race and ethnicity
Applicable Recipients

OT21-2103 recipients also funded by the Epidemiology and Laboratory Capacity for Prevention and Control of
Emerging Infectious Diseases (ELC) who will use or plan to use OT21-2103 funds or activities to support COVID-19
testing will calculate and report on this measure. If recipients are not using OT21-2103 funds to implement or
contribute to testing and contact tracing, they do not need to report on measure 1.2. For those recipients who are
funded by ELC, data will also continue to be collected through the Clinical and Environmental Lab Results (CELR)
line-level data.
OT21-2103 recipients not funded by ELC that use or plan to use OT21-2103 funds or activities to support COVID19 testing will calculate and report on this measure after the first reporting cycle.
For more information on ELC and a list of recipients: CDC - ELC Cooperative Agreement - DPEI - NCEZID

Rationale

A major purpose of this funding is to ensure that a robust testing program for COVID-19/SARS-CoV-2 is in place for
populations of focus. Recipients are expected to expand testing capacity, including working with non-public health
laboratory (PHL) laboratories/community testing sites, to enable the jurisdiction to test sufficient numbers of its
population in accordance with CDC guidelines and in alignment with a jurisdiction’s testing plan. This measure
looks at the volume of COVID-19/SARS-CoV-2 testing conducted across a jurisdiction and may be used in
conjunction with percentage of positive molecular tests to indicate whether a jurisdiction is sufficiently testing its
population and suggested populations of focus.
Source: ELC Performance Measures Guidance for Project E: Enhancing Detection

26

Data Elements

1. Number of COVID-19/SARS-CoV-2 molecular tests conducted
2. Number of COVID-19/SARS-CoV-2 serology tests conducted
3. Number of COVID-19/SARS-CoV-2 molecular tests conducted that were positive
REMOVED for v1.1: Number of individuals planned to be tested (molecular)
Report this performance measure by racial and ethnic populations. If exact numbers are difficult to obtain, please
indicate numbers for which race and ethnicity are unknown. Please share challenges around reporting by racial
and ethnic populations or additional racial and ethnic breakdowns used in the “Challenges or other information
related to measure 1.2” field. Populations to report by:
•
•
•
•
•
•
•
•
•

Additional Guidance

Alaska Native, non-Hispanic
American Indian, non-Hispanic
Asian, Non-Hispanic
Black or African American, non-Hispanic
Hispanic, Latino or Latinx
Native Hawaiian and Pacific Islanders, non-Hispanic
White, non-Hispanic
Multiple race, non-Hispanic
Unknown

This measure is about the total number of tests conducted. Numbers are inclusive of all tests conducted in the
jurisdiction regardless of testing site. We understand there may be a substantial discrepancy between the number
of tests conducted and number of individuals tested; however, at this point, there is no way to differentiate
between these two numbers through the Clinical and Environmental Lab Results (CELR) line-level data received by
CDC. We encourage jurisdictions to de-duplicate test results whenever possible to better understand the burden
of COVID-19 within the population.
There are limitations to using percent positivity as an indicator of adequate testing capacity, and results will be
contextualized with other factors. For example, a high percentage of positive test results may indicate that testing
is occurring among a disproportionately high-risk population, or that there is a high prevalence of COVID-19/SARSCoV-2 overall circulating within the population. The percentage of positive test results among all molecular test
results may also be used to help gauge whether a jurisdiction has sufficient testing capacity in place, especially

27

when it is applied to specific populations (e.g., high-risk demographics) and geographical areas (e.g., densely
populated urban areas).
Number of tests conducted: These include all tests (molecular, serology) and all test results (positive, negative, and
indeterminant).
Report testing counts in the quarter they are completed or realized within.
REMOVED for v1.1: Number of individuals planned to be tested: This information is collected via the Jurisdictional
Testing Plans as mandated by legislative language.
Target

Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets should
be aggregate counts, not percentages.
Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target please follow
these steps:
3. Contact project officer and copy [email protected] with justification for the target change.
4. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.

Reporting Frequency

Quarterly

Reporting Mechanism

REDCap

Additional
Considerations

This measure, data elements and definitions align with ELC Enhancing Detection Measure E.2. If a recipient is
funded by ELC and OT21-2103, they may report the same data for OT21-2103. However, please note that for
OT21-2103, CDC is asking recipients to disaggregate the data by race and ethnicity, report directly to CDC, and
only report if 2103 funds are used to implement or expand what recipients are doing with ELC funds.
If recipients have the capacity to report the number and type of tests at the county, parish, tribal land, census
track, or MSA level, please provide that information to the lowest geographical level possible. Sharing the lowest
geographic level at which recipients can report data helps CDC understand geographic reporting capacity and
allow for unique geographic situations across recipients.

28

Measure 1.3: Caseload, number of cases per case investigator and number of contacts per contact tracer during the data collection
period
Applicable Recipients

OT21-2103 recipients also funded by ELC who will use or plan to use OT21-2103 funds or activities to support
COVID-19 contact tracing and case investigation will calculate and report on this measure. If recipients are not
using OT21-2103 funds to implement or contribute to testing and contact tracing, they do not need to report on
measure 1.3 and should report only to ELC.
OT21-2103 recipients not funded by ELC that use or plan to use OT21-2103 funds or activities to support COVID19 contact tracing will calculate and report on this measure after the first reporting cycle.
For more information on ELC and a list of recipients: CDC - ELC Cooperative Agreement - DPEI - NCEZID

Rationale

This measure is essential for monitoring capacity and identifying case investigation and contact tracing staffing
needs. This data will help provide important information about variations in workload over time and across
jurisdictions within populations of focus.
Source: ELC Performance Measures Guidance for Project E: Enhancing Detection

Data Elements

1. Number of cases reported to the health department (confirmed and, if possible, probable)
2. Number of cases sent to the case investigation team
3. Number of case Investigators
4. Number of contacts identified through case investigations
5. Number of contact tracers
REMOVED for v1.1: During the data collection period, were the contact tracing staff separate from case
investigation staff? Select one:
a. Yes, they were all separate staff people
b. Mostly separate, as some case investigators did some contact tracing (or vice versa)
c. No, they were all the same staff, who did both jobs
Report the number of cases reported to the health department and number of contacts identified through case
investigations by racial and ethnic populations. If exact numbers are difficult to obtain, please indicate numbers
for which race and ethnicity are unknown. Please share challenges around reporting by racial and ethnic

29

populations or additional racial and ethnic breakdowns used in the “Challenges or other information related to
measure 1.3” field. Populations to report by:

Additional Guidance

• Alaska Native, non-Hispanic
• American Indian, non-Hispanic
• Asian, Non-Hispanic
• Black or African American, non-Hispanic
• Hispanic, Latino or Latinx
• Native Hawaiian and Pacific Islanders, non-Hispanic
• White, non-Hispanic
• Multiple race, non-Hispanic
• Unknown
If exact numbers are difficult to obtain, please provide the best estimate for these variables and provide an
explanation in the note section.
Definitions:
Total number of cases should include all confirmed and, if possible, probable.
Number of cases sent to the investigation team is the total number of cases expected to be interviewed. This may
be the same number as or a subset of Data Element 1.
Number of case investigators is the total number of staff who were assigned cases to contact for an interview.
Number of contacts is the total number of contacts identified through case interviews.
Number of contact tracers is the total number of staff assigned to follow up on contacts.
Potential Calculations (performed by CDC):
1. Caseload per case investigator
2. Caseload per contact tracer
Report contact tracing and case investigations in the quarter they are completed or realized within.

Target

Targets to be set by recipient during initial reporting cycle for the two-year period of performance. Targets should
be aggregate counts, not percentages.
30

Recipients can update targets throughout the period of performance with proper justification and approval.
Changes should be limited but CDC understands this is an evolving situation. To update a target please follow
these steps:
1. Contact project officer and copy [email protected] with justification for the target change.
2. If approval is granted, update the target and approved justification in REDCap during the next reporting
cycle.
For measure 1.3, set a target that aggregates all the data elements of the measure.
•

Example: Target=1,000 (500 number of cases sent to case investigation team, 345 number of case
investigators, 25 number of contacts identified through case investigations, 130 number of contact
tracers)

Reporting Frequency

Quarterly

Reporting Mechanism

REDCap

Additional
Considerations

This measure, data elements and definitions align with ELC Enhancing Detection Measure E.17. If a recipient is
funded by ELC and OT21-2103, they may report the same data for OT21-2103. However, please note that for
OT21-2103, CDC is asking recipients to disaggregate the data by race and ethnicity and only report if 2103 funds
are used to implement or expand what recipients are doing with ELC funds.
If recipients have the capacity to report the performance measure at the county, parish, tribal land, census track
or MSA level, please provide that information to the lowest geographical level possible. Sharing the lowest
geographic level at which recipients can report data helps CDC understand geographic reporting capacity and
allow for unique geographic situations across recipients.

31