PAR-00-141: SMALL GRANT PROGRAM FOR CONFERENCE SUPPORT

Department of Health
and Human Services (HHS)

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SMALL GRANT PROGRAM FOR CONFERENCE SUPPORT Release Date: October 2, 2000 PA NUMBER: PAR-00-141 (This PA has been reissued, see PAR-05-123) Agency for Healthcare Research and Quality PURPOSE The Agency for Healthcare Research and Quality (AHRQ), formerly known as the Agency for Health Care Policy and Research (AHCPR), announces its continued interest in supporting conferences through its Small Conference Grant Program. AHRQ small conference grants are those with direct costs of $50,000 or less over the project period. This Program is intended to complement and promote AHRQ’s core research by providing a mechanism for Agency stakeholders and others to (1) develop health services research agendas and identify strategies and mechanisms for studying them, (2) discuss and develop consensus around health services research methodological and technical issues, (3) disseminate health services research information for formulating or evaluating health policy, managing health care programs, and using or purchasing health services, and (4) develop partnerships with stakeholder organizations and build their capacity to participate in research activities and use the results of health services research. This program announcement describes the procedures and criteria for the Program. It updates and supersedes the "Small Grant Program for Conference Support," PAR-96-015, published in the NIH Guide for Grants and Contracts on January 26, 1996. HEALTHY PEOPLE 2010 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of Healthy People 2010, a PHS- led national activity for setting health improvement priorities for the United States. AHRQ encourages applicants to submit grant applications with relevance to the specific objectives of this initiative. Potential applicants may obtain a copy of Healthy People 2010" at http://www.health.gov/healthypeople. ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic (U.S.) public and private nonprofit organizations, including universities, clinics, units of State and local governments, tribes, foundations, scientific or professional societies. An individual is not eligible to receive a grant in support of a conference. In the case of an international conference, the U.S. representative organization of an established international scientific or professional society is the eligible grantee. Grant funds may not be used to provide general support for international conferences held outside the United States or Canada. However, grant funds may be awarded to support specific aspects of an international conference held outside the United States or Canada. For the purpose of this PA, AHRQ will make grants only to non-profit organizations, however, for-profit organizations may participate in grant projects through consortium arrangements or as subcontractors. Organizations described in section 501(c)4 of the Internal Revenue code that engage in lobbying are not eligible. Applicants may request full or partial support for conferences. Where partial support of a conference is requested, the peer review will consider the overall structure and design of the conference as well as the sub- component for which support is being requested. AHRQ encourages investigators and new investigators (as defined in the PHS 398 application instructions) who are women, members of racial and ethnic of minority groups, and persons with disabilities to apply as Principal Investigators. MECHANISM OF SUPPORT This Program Announcement will use the conference grant (Rl3) mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. The total direct costs awarded under this PA must not exceed $50,000 for the entire project period. Applicants seeking more than $50,000 should first refer to the AHRQ Health Service Research PA (http://grants.nih.gov/grants/guide/pa-files/PA-00-111.html) for information on AHRQ priority program areas and appropriate contacts. Conference grant applications requesting more than $50,000 direct costs must be sent in accordance with the Health Services Research Conference Grants PA (large conference grants), published in the NIH Guide May 31, 1991, and the application submission dates in the form PHS 398 (rev. 4/98). Large conference grant applications are reviewed using a different procedure than the one described herein. These program announcements are available from AHRQ’s web site: http://www.ahrq.gov (Funding Opportunities) and from the AHRQ Publications Clearinghouse (See INQUIRIES). RESEARCH OBJECTIVES Conference Objectives AHRQ seeks to support conferences that help to further its mission. The types of conferences eligible for support include: 1) Research development - conferences where issues or problems in the delivery of health services are defined and a research agenda or strategy for studying them is developed, 2) Design and methodology - conferences where methodological and technical issues of major importance in the field of health services research are addressed or new designs and methodologies are developed, and 3) Dissemination conferences - where research findings are summarized and communicated broadly to organizations and individuals that have the capability to use the information to improve the outcomes, quality, access to, and cost and utilization of health care services. AHRQ is especially interested in supporting conferences that demonstrate strategies which include plans for disseminating conference materials and products beyond the participants attending the event. Such strategies might include, but are not limited to, submitting articles for publication, posting information on a Web site, and seeking out formal opportunities to discuss conference information with others. AHRQ’s Mission The mission of AHRQ is to enhance the quality, appropriateness, and effectiveness of health services, and access to such services, through the establishment of a broad base of scientific research and through the promotion of improvements in clinical and health systems practices, including the prevention of diseases and other health conditions. AHRQ achieves this mission through health services research designed to (1) improve clinical practice, (2) improve the health care system’s ability to provide access to and deliver high quality, high-value health care, and (3) provide policymakers with the ability to assess the impact of system changes on outcomes, quality, access to, cost, and use of health care services. This Program Announcement (PA) expresses AHRQ’s interest in supporting conferences that focus on the Priority Program Areas identified in the AHRQ Health Services Research - Program Announcement available on AHRQ’s Web site at http://www.ahrq.gov (Funding Opportunities). That PA outlines broad research interests in the following areas: o Support improvements in health outcomes. Drawing from literature on variations in clinical practice and associated outcomes, the documented increase in the prevalence of chronic disease, and growing interest in the impact of different delivery modalities and financing arrangements on the outcomes of care, AHRQ seeks to support research to understand and improve decision-making at all levels of the health care system, the outcomes of health care and, in particular, what works, for whom, when, and at what cost. o Strengthen quality measurement and improvement. AHRQ is interested in a broad array of research topics, including studies to develop valid and reliable measures of the process and outcomes of care, causation and prevention of errors in health care, strategies for incorporating quality measures into programs of quality improvement, and dissemination and implementation of validated quality improvement mechanisms. o Identify strategies to improve access, foster appropriate use, and reduce unnecessary expenditures. This area focuses on issues pertaining to the types of health care services Americans use, the cost of these services and sources of payment, determinants of access to care, and whether particular approaches to health care delivery and financing, or characteristics of the health care market, alter behaviors in ways that improve access and promote cost-effective use of health care resources. AHRQ has identified, as a special focus of research across each of the major program areas, those health issues related to the following priority populations: low income groups, racial and ethnic minority groups, women, children, the elderly, individuals with special health care needs, including individuals with disabilities and those who need chronic care and end-of-life health care, and individuals living in inner-city, rural, and frontier areas. AHRQ encourages conference planners to disseminate tools, data, and research results either developed or supported by AHRQ, for example, the Consumer Assessment of Health Plans (CAHPS), the Medical Expenditure Panel Survey (MEPS), data from the Healthcare Cost and Utilization Project (HCUP), Evidence-based Practice Centers (EPCs), U.S. Preventive Services Task Force, and the National Guideline Clearinghouse. Depending on the particular conference design and topic and goal, possible dissemination avenues for AHRQ products could include the inclusion of relevant AHRQ material(s) in the conference notebook or briefing packet or display table at meeting, or participation by an AHRQ topic expert in panel discussions/presentations. SPECIAL REQUIREMENTS Data Privacy Pursuant to section 924(c) of the Public Health Service Act (42 USC 299c- 3(c)), information obtained in the course of any AHRQ-study that identifies an individual or entity must be treated as confidential in accordance with any promises made or implied regarding the possible uses and purposes of the data collection. In the Human Subjects section of the application, applicants must describe procedures for ensuring the confidentiality of such identifying information. The description of the procedures should include a discussion of who will be permitted access to the information, both raw data and machine readable files, and how personal identifiers and other identifying or identifiable data will be restricted and safeguarded. The grantee should ensure that computer systems containing confidential data have a level and scope of security that equals or exceeds those established by the Office of Management and Budget (OMB) in OMB Circular No. A-130, Appendix III - Security of Federal Automated Information Systems. The National Institute of Standards and Technology (NIST) has published several implementation guides for this circular. They are: An Introduction to Computer Security: The NIST Handbook, Generally Accepted Principals and Practices for Securing Information Technology Systems, and Guide for Developing Security Plans for Information Technology Systems. The circular and guides are available on the web at http://csrc.nist.gov/publications/nistpubs/800-12/handbook.pdf. The application of these confidentiality and security standards to subcontractors and vendors should be addressed as necessary. Rights in Data AHRQ grantees may copyright or seek patents, as appropriate, for final and interim products and materials including, but not limited to, methodological tools, measures, software with documentation, literature searches, and analyses, which are developed in whole or in part with AHRQ funds. Such copyrights and patents are subject to a worldwide irrevocable Federal government license to use and permit others to use these products and materials for government purposes. In accordance with its legislative dissemination mandate, AHRQ purposes may include, subject to statutory confidentiality protections, making research materials, data bases, results, and algorithms available for verification or replication by other researchers, and subject to AHRQ budget constraints, final products may be made available to the health care community and the public by AHRQ or its agents, if such distribution would significantly increase access to a product and thereby produce public health benefits. Ordinarily, to accomplish distribution, AHRQ publicizes research findings but relies on grantees to publish research results in peer- reviewed journals and to market grant-supported products. Important legal rights and requirements applicable to AHRQ grantees are set out or referenced in the AHRQ’s grants regulation at 42 CFR Part 67, Subpart A (Available in libraries and from the GPO’s website http://www.access.gpo.gov/nara/cfr/index.html). APPLICATION PROCEDURES The following directions apply only to applications for conference grants of $50,000 direct costs or less. Applications are to be submitted on the grant application form PHS 398 (rev. 4/98). The application can be obtained at http://grants.nih.gov/grants/forms.htm. State and local government applicants may use the form PHS 5161-1, Application for Federal Assistance (rev 5/96), and follow those requirements for copy submission. Application kits are available at most institutional offices of sponsored research and from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20982- 7910, telephone (301) 435-0714, e-mail grantsInfo@nih.gov. AHRQ applicants are encouraged to obtain applications materials from the AHRQ Publications Clearinghouse (see INQUIRIES). Applications will be accepted at any time, but will be reviewed on one of six scheduled review dates during the year. These review dates are scheduled for the second week of February, April, June, August, October, and December. To be reviewed on one of the scheduled dates, applications must be received at least 40 business days (approximately 6 weeks) before the scheduled review week date. The PA title and number must be typed on line 2 of the face page of the application form and the YES box must be marked. The PHS 398 type size requirements (p.6) will be enforced rigorously and non-compliant applications will be returned. The complete signed, typewritten original of the application including the Checklist and 5 signed copies in one package must be sent to: Office of Research Review, Education, and Policy Agency for Healthcare Research and Quality Attn: Ann Bacon 2101 East Jefferson Street, Suite 400 W Rockville, Maryland 20852 Specific Application Instructions The proposed date for the conference must be included on page 2 of the application as a part of the conference description. The proposed location and facilities for the conference must be described on page 2 of the application under the section entitled Performance Site(s). The narrative portion of the application will substitute for the Research Plan described in form PHS 398 (Rev. 4/98). The narrative portion should be responsive to the Application Review Criteria outlined in this PA, and describe the following: o General purpose of the conference, including how the conference might impact on the quality, appropriateness, and effectiveness of health services, access to such services, and how it might address issues related to priority populations described in the review criteria, o Planning process, including who assisted (or might assist) to plan the conference and the criteria for their selection, o Topics selected for discussion, including how health services research findings will be incorporated if the purpose of the conference is to disseminate information, o Format for the conference, o Proposed (or confirmed) speakers and discussants, including the criteria for selecting such, o Expected product(s) resulting from the conference, including how these products would be disseminated beyond those attending the conference, o Expected participants, and o Plans for evaluating the conference’s success. The narrative portion may not exceed 10 pages in length and must include all material related to the project justification. A conference agenda or draft agenda, if available, should be added as an appendix. Although policies governing study populations are not directly relevant, applications for AHRQ-supported conferences will be expected to demonstrate consideration of the following priority populations: low income groups, racial and ethnic minority groups, women, children, the elderly, individuals with special health care needs, including individuals with disabilities and those who need chronic care and end-of-life health care, and individuals living in inner-city, rural, and frontier areas. Consideration for priority populations should be reflected in the design of the agenda, selection of topics and speakers, attendees, and the final product associated with the conference, whether it is a research agenda or conference proceedings. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness and responsiveness to the PA. Incomplete and/or non-responsive applications or applications not following form PHS 398 instructions will be returned to the applicant without further consideration. Applications that are complete and responsive to the PA will be evaluated for scientific and technical merit by an appropriate review group. Reviewers may also take into consideration the extent to which the applicant responds to any suggestions provided by AHRQ prior to submission of the application. Review Criteria Conference Topic 1. The topic selected must complement existing Agency research activities and interests. 2. The conference must relate clearly and directly to the field of health services research and its goal of developing and translating research to improve our health care system. 3. The conference topic and objective(s) must be succinctly and clearly stated, and reflected in all aspects of the conference proposal. 4. Conference sessions should include health services research related, but not limited, to issues such as: o The quality, effectiveness, efficiency, appropriateness, and value of health care services, o Quality measurement and improvement, o The outcomes, cost, cost-effectiveness, and use of health care services and access to such services, o Clinical practice, including primary care and practice-oriented research topics and methodologies, o System strategies to reduce medical errors and improve patient safety, o Health care technologies, facilities, and equipment, o Health care costs, productivity, organization, and market forces, o Health promotion and disease prevention, o Health statistics, surveys, database development, and epidemiology, o Medical liability, o Market dynamics and its impacts on cost, quality and access, o Delivery system organization, o Medical informatics, o Evidence-based medicine and practice and its implementation into care settings, o Systems re-engineering and other ways to improve health care systems to make them more effective and efficient, o Using information technology effectively and appropriately within different settings, and o Disparities in access and quality. 5. The conference should address issues related to priority populations-- low income groups, racial and ethnic minority groups, women, children, the elderly, individuals with special health care needs, including individuals with disabilities and those who need chronic care and end-of-life health care, and individuals living in inner-city, rural, and frontier areas--to the extent appropriate to the conference topic. 6. The topic selected must be important to Agency stakeholders such as consumers and patients, clinicians and other providers, institutions, plans, purchasers, and policymakers in all sectors (e.g., Federal, State and local governments, voluntary associations, international organizations, and foundations). 7. The product of the conference should have the potential to influence future research, policy, or practice, or enhance AHRQ’s collaborative relationships. 8. Expected conference outcomes should have a national impact or make a significant contribution to a particular field. If the conference is regionally based, plans for a broad dissemination of conference materials and some indication of national relevance must be included. Conference Design 1. The conference must be for the purpose of one of the following: disseminating research results, formulating a research agenda, or developing a research methodology. 2. If the meeting format includes a call for abstracts, the application should include a summary of the process for soliciting, reviewing and selecting research to be presented at the conference. 3. The conference format must support the conference purpose and facilitate expected outcomes. 4. The planning committee should include representation from the research and research-user communities, and include a process for outreach to a subset of the conference target audience. To the extent consistent with the conference design, topic and goal(s), the planning process also should include outreach to people of differing views, and outreach to representatives of one or more of the Agency priority populations. 5. Speakers selected or proposed, or criteria for speaker selection, must be appropriate for the session topic. A plan should be in place to identify other presenters if those originally sought are unavailable. 6. Evaluation of the conference results must be included in the design. Personnel 1. Conference planning staff and/or advisors must include persons with the requisite education, training and experience. 2. The applicant organization must have the institutional resources, infrastructure, and demonstrated capacity to support the proposed conference. Dissemination Activities 1. Plans must have been made to disseminate conference products to an audience broader than the conference participants. 2. To the extent relevant to the particular conference topic, goal and format, the application should address opportunities for dissemination of germane AHRQ product(s), i.e., research findings and publications, databases, tools. Budget 1. The budget must be adequate to support the conference design and must be justified. 2. Other resources necessary to produce the intended outcome should have been identified or obtained. Special Budget Requirements Applications may request full or partial support for conferences. AHRQ can support up to $50,000 in direct cost with the small conference grant program. However, applicants are encouraged to obtain multiple sources of funding as a means of maximizing limited AHRQ funds. Where partial support of a conference is requested from AHRQ, application reviewers will consider the overall structure and design of the conference as well as the sub-component for which support is being requested. Sources and amounts of other funding should be clearly identified. Applications must include a composite budget listing costs by category to be provided by other sources as well as costs being requested from AHRQ. Allowable and Unallowable Costs Expenses allowed under the Small Grant Program for Conference Support follow the guidelines described in the form PHS 398 (rev. 4/98) and PHS Grants Policy Statement (April 1, 1994) Appendix 7. Areas of particular relevance to conference grants and exceptions to the general policies are described below. Direct Cost Expenditures a. Equipment. Grant funds may be used for rental of necessary equipment. Funds may not be used for the purchase of equipment. Rental expenses should be listed under the other expenses category. b. Travel. Proposed per diem or subsistence allowances must be reasonable and will be limited to the days of attendance at the conference plus actual travel time required to reach the conference location by the most direct route available. Travel costs are limited to the extent provided for by formal institutional travel policy. If the grantee institution has no formal travel policy, the Department of Health and Human Services travel regulations shall be applied in determining the amount of travel chargeable to grant funds. Where meals and/or lodging are furnished without charge or at a nominal cost (e.g., as part of the registration fee), the proposed per diem or subsistence allowance must take this into consideration. Transportation costs for those attending and participating in the conference and paid with grant funds may not exceed economy class fares. U.S. carriers must be used where possible. For local participants in the conference, grant funds may not be used to pay per diem or expenses other than local mileage. c. Supplies. Grant funds may be used for the purchase of conference supplies, provided the supplies are received and used during the project period. d. Conference Services. Grant funds may be used for necessary recording of proceedings, simultaneous translation, and subsequent transcriptions. e. Publication Costs. Grant funds may be used to pay for the publication and dissemination of conference proceedings. f. Registration Fees. Registration fees, when paid by the grantee to other organizations on behalf of attendees, may be paid from grant funds, provided such fees cover only those allowable costs properly chargeable to the grant. g. Entertainment and Personal Expenses. Costs of amusement, diversion, social activities, ceremonial, and related incidental costs such as bar charges and personal telephone calls of participants or guests cannot be charged to the grant. h. Federal Employees. Grant funds may not be used to cover the cost of travel or any payment to a full-time Federal employee, except when that employee is on leave without pay status from his or her employing office. i. Honoraria. Honoraria or other payments given for the purpose of conferring distinction on or to symbolize respect, esteem, or admiration may not be paid from grant funds. Speaker fees for services rendered, however, are allowable. j. Alteration and Renovations. Grant funds may not be used to support facility alteration or renovations of any kind. k. Meals. When meals are an integral and necessary part of a conference (i.e., working meals where conference related business is transacted), grant funds may be used for such meals. Food costs that are not integral and necessary to the conference (e.g., preconference registration refreshments, continental breakfasts, coffee breaks, and receptions) are not allowable. Facilities and Administration Costs (F&A) F&A costs (indirect costs) will not be allowed on grants in support of conferences. AWARD CRITERIA Applications will compete for available funds with other conference applications. The following will be considered in making funding decisions: quality of the proposed project, availability of funds, and program priority. Conditions of Award In addition to standard grant requirements, the following terms and conditions of award will be set prior to the issuance of a Notice of Grant Award: 1. Agreement for up to 5 AHRQ staff to attend the conference without paying a registration fee. 2. Agreement to hold the conference within 12 months of the start date of the award. 3. The understanding that under no circumstance will support be provided for conferences held prior to the start date of grant award. 4. Agreement to submit an original and two copies of an executive summary and one-page abstract of the conference and summary of participant’s evaluation ratings/comments, which includes discussion of what you learned and what you might do differently in the future, to AHRQ no later than 90 days after the dates of the conference. At the time of the award, the project officer will determine how many copies of the conference products will be required for distribution to AHRQ staff and other DHHS colleagues. 5. To the extent relevant to the particular conference design, topic and goal, agreement to dissemination germane AHRQ product(s). 6. Agreement to list AHRQ as a meeting supporter on conference materials, subsequent proceedings and references. Timeline Time from review of application to earliest anticipated award date: 60 days Date of conference: Within 12 months of start date of award Conference Summary: Within 90 days after the conference dates Potential applicants are reminded that no public announcement of AHRQ"s financial commitment can be made for a conference before the applicant receives a Notice of Grant Award. Prospective applicants should allow adequate time for application submission and review and award processing in their plans for conference development. INQUIRIES Application materials are available from: AHRQ Publications Clearinghouse P.O. Box 8547 Silver Spring, MD 20907-8547 Telephone: 1-800-358-9295 TDD Service: 888-586-6340 The PA is available on AHRQ’s Web site, http://www.ahrq.gov (Funding Opportunities) and through the AHRQ InstantFAX at 301/594-2800. To use InstantFAX, you must call from a facsimile (FAX) machine with a telephone handset. Follow the voice prompt to obtain a copy of the InstantFAX table of contents, which has the document order number (not the same as the PA number). The PA will be sent at the end of the ordering process. AHRQ InstantFAX operates 24 hours a day, 7 days a week. For comments or problems concerning AHRQ InstantFax, please call (301) 594-6344. AHRQ welcomes the opportunity to clarify any issues or questions from potential applicants. Written and telephone inquiries are encouraged. Direct inquiries regarding programmatic issues, including information on the policies of inclusion of women, minorities, and children in AHRQ- supported projects to: Sandra Isaacson Director, User Liaison Program, OHCI Agency for Healthcare Research and Quality 2101 East Jefferson Street, Suite 500 Rockville, MD 20852-4908 Telephone: 301/594-6668 FAX: 301/594-2035 Email: sisaacso@ahrq.gov Direct inquiries regarding fiscal matters to: George Skip Moyer Grants Management Specialist Agency for Healthcare Research and Quality 2101 East Jefferson Street, Suite 601 Rockville, MD 20852-4908 Telephone: 301/594-1842 FAX: 301/594-3210 E-mail: smoyer@ahrq.gov OR Michelle Burr Grants Management Specialist Agency for Healthcare Research and Quality 2101 East Jefferson Street, Suite 601 Rockville, MD 20852-4908 Telephone: 301/594-1840 FAX: 301/594-3210 E-mail: mburr@ahrq.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance, Number 93.226. Awards are made under authorization of Title IX of the Public Health Service Act (42 U.S.C. 299-299c-7), as amended by P.L. 106-129 (1999). Awards are administered under the PHS Grants Policy Statement and Federal Regulations 42 CFR 67, Subpart A, and 45 CFR Parts 74 or 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, The Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.

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