United States Department of Health and Human Services (HHS)
Participating
Organizations
Centers for Disease Control and Prevention
(CDC) at http://www.cdc.gov/
Components of
Participating Organizations
National Center for Injury
Prevention and Control (NCIPC/CDC) at http://www.cdc.gov/ncipc/
Title: Multi-Level Parent Training Effectiveness Trial Phase II (U49)
Note: The policies, guidelines, terms, and conditions stated in this announcement may differ from those used by the NIH.
Authority: This program is authorized under Sections 301 and 393(a)(3) of the Public Health Service Act [42 U.S.C. Sections 241 and 280b-1a(a)(3)].
Announcement Type: Competing Continuation
Instructions for Submission of Electronic Research Applications:
If you do not have access to the Internet, or if you have difficulty accessing the forms online, you may contact the CDC Procurement and Grants Office Technical Information Management Section (PGOTIMS) staff. For this, or further assistance, contact PGO TIMS: Telephone (770) 488-2700, Email: PGOTIM@cdc.gov.
NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through Grants.gov (http://www.grants.gov) using the SF424 Research and Related (R&R) forms and the SF424 (R&R) Application Guide.
This FOA must be read in conjunction with the application package instructions included with this announcement on Grants.gov/Apply for Grants (hereafter referred to as, Grants.gov/Apply.)
A registration process is necessary before submission, and applicants are highly encouraged to start the process at least four weeks prior to the grant submission date. See Section IV.
Two steps are required for on time submission:
1) The application must be successfully received by Grants.gov no later than 5:00 p.m. Eastern Standard Time on the application submission receipt date (see Key Dates below.)
2) Applicants must complete a verification step in the Electronic Research Administration (eRA Commons) within two business days of notification. Note: Since email can be unreliable, it is the responsibility of the applicant to periodically check on their application status in the eRA Commons.
Funding Opportunity Announcement (FOA) Number: RFA-CE-07-011
Catalog of Federal Domestic Assistance Number(s):Key
Dates
Release/Posted
Date: May 31, 2007
Application Submission Receipt Date: July
9, 2007
Peer Review Date: July 30, 2007
Council Review Date: August
6, 2007
Earliest
Anticipated Start Date: September 30, 2007
Expiration
Date: July
10, 2007
Due Date for E.O. 12372
Executive Order 12372 does not apply to this program.
Additional Overview Content
Executive Summary
Funding Opportunity Announcement Glossary: FOA Glossary Terminology
Table of Contents
Part I Overview Information
Part II Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
Section II. Award Information
1. Mechanism(s) of Support
2. Funds Available
Section III. Eligibility
Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2. Cost Sharing or Matching
3. Other - Special Eligibility Criteria
Section IV. Application and
Submission Information
1. Request Application Information
2. Content and Form of Application
Submission
3. Submission Dates and Times
A. Receipt and Review and
Anticipated Start Dates
1. Letter of
Intent
B. Submitting an
Application to CDC
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review
Information
1. Criteria
2. Review and Selection Process
A. Additional Review
Criteria
B. Additional Review
Considerations
C. Sharing Research Data
D. Sharing Research
Resources
3. Anticipated Announcement and Award
Dates
Section VI. Award Administration
Information
1. Award Notices
2. Administrative and National Policy
Requirements
A. Cooperative Agreement
1. Recipient
Rights and Responsibilities
2. CDC
Responsibilities
3.
Collaborative Responsibilities
3. Reporting
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/ Grants Management
Contact(s)
4. General Questions Contact(s)
Section VIII. Other Information
- Required Federal Citations
Part II - Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
The NCIPC of CDC within HHS is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010" and to measuring program performance as stipulated by the Government Performance and Review Act (GPRA). This RFA addresses Healthy People 2010 priority area(s) of injury and violence prevention and is in alignment with NCIPC performance goal(s) to conduct a targeted program of research to reduce injury-related disability. For more information, see www.healthypeople.gov and www.whitehouse.gov/omb/mgmt-gpra/.
The purpose of this solicitation is to expand the implementation and evaluation of the Triple P-Positive Parent Program funded under Program Announcement 02072. The Triple P System Population Trial is the first randomized trial to examine population effects on child maltreatment.
It has been suggested that developing and evaluating universal parenting programs that could be introduced early in the parenting process to prevent child maltreatment would be beneficial. A universal program potentially benefits all parents through multiple levels of intervention tailored to parents who experience a range of problems with their children and have varying skill sets and needs.
To explore this approach, the Centers for Disease Control and Prevention funded the University of South Carolina Research Foundation to conduct a 5-year effectiveness trial of the Triple P-Positive Parenting Program. Triple P has five primary levels that vary in intensity: Level One, information provision; Levels Two and Three, brief consultations for parents of children with typical behavioral problems; and Levels Four and Five, ten or more sessions to address severe child behavioral problems. Pathways Triple P, an enhanced program, provides intense services designed for at-risk families, including families who have already experienced child maltreatment.
Data collected to date suggest that intervention effects are promising among high-risk groups, but additional data among this segment of the population is necessary to provide further evidence of effect. Further implementation and dissemination activities to optimize the penetration of the intervention in the general population are also required to produce the strongest achievable results.
Funds are being made available for this funding opportunity announcement to optimize the dissemination process through enhanced strategies to increase organization, community and provider commitment to use the Triple P-Positive Parenting Program as a way of increasing the number of parents being reached in the intervention counties and to build sustainability of the program. Funds are also being made available to enhance the evaluation of the program by collecting additional data on child maltreatment reports, out-of-home placements, and hospital injury, as well as data from households in the 18 study counties to assess overall effects.
See Section VIII, Other Information - Required Federal Citations,
for policies related to this announcement.
Section II. Award Information
1. Mechanism(s) of Support
This funding opportunity will use the U49 activity code. The HHS/CDC U49 is a cooperative agreement assistance instrument. Under the U49 assistance instrument, the Recipient Organization retains the primary responsibility and dominant role for planning, directing, and executing the proposed project, with HHS/CDC staff being substantially involved as a partner with the Recipient Organization, as described in Section VI.2.A., "Cooperative Agreement .
2. Funds Available
The participating Centers, Institutes and Offices (CIOs) (NCIPC) intend to commit approximately $400,000 dollars (including direct and indirect costs) in FY 2007 to fund one application. An applicant may request a project period of up to 2 years and up to $400,000 (including direct and indirect costs) for the first 12-month budget period. The approximate total project period funded amount is $800,000 (including direct and indirect costs). The anticipated start date for the new award is September 30, 2007.
All estimated funding amounts are subject to availability of funds.
If an applicant requests a funding amount greater than the ceiling of the award range HHS/CDC will consider the application non-responsive, and it will not enter into the review process. HHS/CDC will notify the applicant that the application did not meet the submission requirements.
Section III. Eligibility Information
1.
Eligible Applicants
1.A. Eligible Institutions
Competition is limited to grantees funded under Program Announcement 02072 to assess the effectiveness of a multi-level parent training program.
1.B. Eligible Investigators
Eligibility is limited to the Principal Investigators of those grantee institutions funded under Program Announcement 02072.
2. Cost
Sharing or Matching
Cost sharing, matching funds, or cost participation are not required.
3. Other-Special Eligibility Criteria
Note: Title 2 of the United States Code Section 1611 states that an organization described in Section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan.
Section IV. Application and Submission Information
To download a SF424 (R&R) Application Package and SF424 (R&R) Application Instructions for completing the SF424 (R&R) forms for this FOA, link to http://www.grants.gov/Apply/ and follow the directions provided on that Web site.
A one-time registration is required for institutions/organizations at the following:
PD/PIs should work with their institutions/organizations to make sure they are registered in the eRA Commons.
Several additional actions are required before an applicant institution/organization can submit an electronic application, as follows:
1) Organizational/Institutional Registration in Grants.gov/Get Started
2) Organizational/Institutional Registration in the eRA Commons
3) Project Director/Principal Investigator (PD/PI) Registration in the eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.
Note that if a PD/PI is also an HHS peer-reviewer with an Individual DUNS and CCR registration, that particular DUNS number and CCR registration are for the individual reviewer only. These are different than any DUNS number and CCR registration used by an applicant organization. Individual DUNS and CCR registration should be used only for the purposes of personal reimbursement and should not be used on any grant applications submitted to the Federal Government.
Several of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their organization/institution is already registered in both Grants.gov and the eRA Commons. The HHS/CDC strongly encourages applicants to use the Grants.gov electronic applications process and have organizations and PD/PIs complete all necessary registrations.
1.
Request Application Information
Applicants must download the SF424 (R&R)
application forms and SF424 (R&R) Application Guide for this FOA through Grants.gov/Apply.
Note:
Only the forms package directly attached to a specific FOA can be used. You
will not be able to use any other SF424 (R&R) forms (e.g., sample forms,
forms from another FOA) although some of the "Attachment" files may
be useable for more than one FOA.
If you do not have access to the Internet, or if
you have difficulty accessing the forms online, you may contact the CDC
Procurement and Grants Office Technical Information Management Section
(PGOTIMS) staff. For this, or further
assistance, contact PGO TIMS: Telephone (770) 488-2700,
Email: PGOTIM@cdc.gov.
HHS/CDC Telecommunications for the
hearing impaired: TTY 770-488-2783.
2. Content and Form
of Application Submission
Prepare all
applications using the SF424 (R&R) application forms and in accordance with
the SF424 (R&R) Application Guide (MS
Word or PDF).
The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to HHS/CDC. There are fields within the SF424 (R&R) application components that, although not marked as mandatory, are required by HHS/CDC (e.g., the Credential log-in field of the Research & Related Senior/Key Person Profile component must contain the PD/PI assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see Tips and Tools for Navigating Electronic Submission on the front page of Electronic Submission of Grant Applications.
The SF424 (R&R) application is comprised of data arranged in separate components. Some components are required, others are optional. The forms package associated with this FOA in Grants.gov/APPLY will include all applicable components, mandatory and optional. A completed application in response to this FOA will include the following components:
Required
Components:
SF424
(R&R) (Cover component)
Research & Related Project/Performance Site
Locations
Research & Related Other Project Information
Research & Related Senior/Key Person
Research & Related Budget
PHS398 Cover Page Supplement
PHS398 Research Plan
PHS398 Checklist
Optional
Components:
PHS398 Cover Letter File
Research & Related Subaward Budget Attachment(s)
Form
Note: While both budget components are included in the
SF424 (R&R) forms package, the CDC U49 (activity code) uses ONLY the detailed Research
& Related Budget. (Do not use the PHS 398 Modular Budget.)
3.
Submission Dates and Times
See Section IV.3.A for details
3.A.
Submission, Review and Anticipated Start Dates
Application Submission
Receipt Date: July 9, 2007
Peer Review
Date: July 30, 2007
Council Review
Date: August 6, 2007
Earliest
Anticipated Start Date: September 30,
2007
3.A.1. Letter of
Intent
A letter of intent is not applicable to this funding
opportunity announcement.
3.B. Submitting an Application to CDC
If the instructions in this announcement differ in any way from the SF424 R&R instructions, follow the instructions in this announcement.
To submit an application in response to this FOA, applicants should access this FOA via http://www.grants.gov/Apply and follow steps 1-4. If submittal of the application is done electronically through Grants.gov (http://www.grants.gov), the application will be electronically time/date stamped by Grants.gov. Applicants will receive an e-mail notice of receipt from Grants.gov when HHS/CDC receives the application.
All requested information must be received in the HHS/CDC Procurement and Grants Office by 5:00 p.m. Eastern Standard Time on the deadline date.
This announcement is the definitive guide on Letter Of Intent (LOI) and application content, submission address, and deadline. It supersedes information provided in the application instructions. If your application does not meet the deadline described in Section IV.3.A, it will not be eligible for review, and HHS/CDC will discard it. You will receive notification that you did not meet the submission requirements.
3.C. Application Processing
HHS/CDC must receive applications on or before 5:00 P.M. Eastern Standard Time
on the application submission date(s) described above (Section IV.3.A.). If HHS/CDC receives an application
after that submission date and time, the application may be delayed in the
review process or not reviewed.
Once an application package has been successfully submitted through Grants.gov, any errors have been addressed, and the assembled application has been created in the eRA Commons, the PD/PI and the Authorized Organization Representative/Signing Official (AOR/SO) have two business days to view the application image.
Upon receipt, applications will be evaluated for completeness and responsiveness by NCIPC and HHS/CDC Procurement and Grants Office (PGO). HHS/CDC will not review incomplete and non-responsive applications.
There will be an acknowledgement of receipt of applications from Grants.gov and the eRA Commons.
Executive Order 12372 does not apply to this program.
All HHS/CDC awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement.
Restrictions, which applicants must take into account while writing their budgets, are as follows:
6.
Other Submission Requirements
Awardees, upon
acceptance of Notice of Award (NoA), must agree to the "Cooperative
Agreement Terms and Conditions of Award" in Section VI. "Award
Administration Information.
Applicants research plan(s) should address activities they will conduct over the entire project period.
Research Plan Component Sections
While each section of the Research Plan component needs to be uploaded separately as a .pdf attachment, applicants are encouraged to construct the Research Plan component as a single document, separating sections into distinct .pdf attachments just before uploading the files. This approach will enable applicants to better monitor formatting requirements such as page limits. All attachments must be provided to HHS/CDC in .pdf format, filenames must be included with no spaces or special characters, and a .pdf extension must be used. Do not include any information in a header or footer of the attachments. A header will be system-generated that references the PD/PI. Page numbers for the footer will be system-generated in the complete application, with all pages sequentially numbered; therefore, do not number the pages of your attachments. Your research plan must not exceed 15 pages. If your research plan exceeds the page limitation, your application may be considered unresponsive and ineligible for review.
The following materials may be included in the Appendix:
Up to five publications, manuscripts (accepted for publication), abstracts, patents, or other printed materials directly relevant to the proposed project. Do not include manuscripts submitted for publication. Applicants should refer to instruction guides and specific Funding Opportunity Announcements (FOAs) to determine the appropriate limit on the number of publications that may be submitted for a particular program. Note that not all grant activity codes allow the inclusion of publications.
Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the relevant policies and procedures may not be considered in the review process. Applicants are reminded to review specific FOAs for any additional program-specific guidance on Appendix material and other application requirements.
In developing the research plan, applicant should describe the strategies that will be used to optimize the dissemination process and thereby enhance penetration of the intervention components to achieve population-level effects; the significance and utility of proposed strategies versus other strategies to optimize penetration of the intervention; and the added value of a two year program expansion over a one-year program expansion. Potential barriers and obstacles to achieving desirable penetration of the intervention should be described. In a similar manner, applicant should describe the enhanced evaluation activities required to assess population-level effects and the added value of an additional two year data collection effort over a one year data collection effort. Potential barriers and obstacles to obtaining the additional data should be described.
Plan for Sharing Research Data
Note: HHS/CDC normally requires a plan for sharing research data. However, only proposals submitted to NCIPC for individual research projects of $500,000 or more in total (direct and indirect) costs per year require the applicant to include a data-sharing plan. Because the ceiling for this FOA is below $500,000, a data sharing plan is not required and the HHS/CDC steps outlined below in this section do not apply.
All
applicants must include a plan for sharing research data in their application.
The data sharing policy is available at http://www.cdc.gov/od/pgo/funding/ARs.htm under Additional Requirements 25 Release and Sharing of Data. All investigators
responding to this funding opportunity should include a description of how
final research data will be shared, or explain why data sharing is not
possible.
The
reasonableness of the data sharing plan or the rationale for not sharing
research data will be assessed by the reviewers. However, reviewers will not
factor the proposed data sharing plan into the determination of scientific
merit or the priority score.
Section V. Application Review Information
1. Criteria
Only the review criteria described below will be considered in the review process.
2.
Review and Selection Process
Applications
that are complete and responsive to the RFA will be evaluated for scientific
and technical merit by an appropriate peer review group convened by NCIPC in
accordance with the review criteria stated below.
As part of the
initial merit review, the application will:
The goals of HHS/CDC-supported research are to advance the understanding of health promotion and the prevention of disease, injury, and disability, and enhance preparedness. In the written comments, evaluate the application to judge the likelihood the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed by the reviewers and considered in assigning the overall score, weighting them as appropriate for each application.
Note that an application does
not need to be strong in all categories to be judged likely to have major scientific
impact and thus deserve a high priority score. For example, an investigator may
propose to carry out important work that by its nature is not innovative but is
essential to move a field forward.
Significance: Does this study address an
important problem? If the applicant achieves the aims of the application, how
will it advance scientific knowledge or clinical practice? What will be the
effect of these studies on the concepts, methods, technologies, treatments, or
preventative interventions that drive this field?
Approach: Are the conceptual or
clinical framework, design, methods, and analyses adequately developed, well
integrated, well reasoned, and appropriate to the aims of the project? Does the
applicant acknowledge potential problem areas and consider alternative tactics? Is the plan
for the program expansion clearly described and likely to yield
population-level effects? Are proposed strategies for optimizing the
dissemination process likely to improve the penetration and reach of the intervention
to various segments of the population? Has the applicant made a sufficient case
for a two year program expansion over a one year program expansion? Has sufficient
progress been made to date in implementing and evaluating the program to
warrant an expansion?
Innovation: Is the project original and
innovative? For example: Does the project challenge existing paradigms or
clinical practice; address an innovative hypothesis or critical barrier to
progress in the field? Does the project develop or employ novel concepts,
approaches, methodologies, tools, or technologies for this area?
Investigators: Are the investigators
appropriately trained and well suited to carry out this work? Is the work
proposed appropriate to the experience level of the principal investigator and
other researchers? Does the investigative team bring complementary and
integrated expertise to the project (if applicable)?
Environment: Does the scientific
environment in which the work will be done contribute to the probability of success?
Do the proposed studies benefit from unique features of the scientific
environment, or subject populations, or employ useful collaborative
arrangements? Is there evidence of institutional support?
2.A. Additional Review Criteria
In addition to the
above criteria, the following items will continue to be considered in the
determination of scientific merit and the priority score:
None
Application Review
Protection of Human Subjects from Research Risk: When human subjects are involved, HHS/CDC will assess the available protections from research risk that relate to their participation in the proposed research [see the Research Plan, Section 2, item 8 on Human Subjects in the SF424 (R&R)] located at, http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm. Additional HHS/CDC Requirements under AR-1 Human Subjects Requirements are available on the Internet at the following address: http://www.cdc.gov/od/pgo/funding/ARs.htm.
Inclusion of Women and Minorities in Research:
Does the application adequately address the HHS/CDC Policy requirements regarding the inclusion of women, ethnic, and racial groups in the proposed research? This includes: (1) The proposed plan for the inclusion of both sexes and racial and ethnic minority populations for appropriate representation; (2) The proposed justification when representation is limited or absent; (3) A statement as to whether the design of the study is adequate to measure differences when warranted; and (4) A statement as to whether the plans for recruitment and outreach for study participants include the process of establishing partnerships with community(ies) and recognition of mutual benefits (see Section 2, item 9 Inclusion or Women and Minorities of the Research Plan component of the SF424 (R&R).
2.B. Additional Review Considerations
Budget and
Period of Support: The reasonableness of the proposed budget and the
appropriateness of the requested period of support in relation to the proposed
research may be assessed by the reviewers. Is the number of person months
listed for the effort of the PD/PI appropriate for the work proposed? Is each
budget category realistic and justified in terms of the aims and methods? The
evaluation of the budget should not affect the priority score.
2.C. Sharing Research Data
Not applicable. Only proposals submitted to NCIPC for individual research projects of $500,000 or more in total (direct and indirect) costs per year require the applicant to include a data-sharing plan. Because the ceiling for this FOA is below $500,000, a data sharing plan is not required.
3.
Anticipated Announcement and Award Dates
Grantee
will be notified in early September of 2007 by HHS/CDC’s Procurement and Grants
Office (PGO) if their application was selected for funding.
Section VI. Award Administration Information
1.
Award Notices
After the peer
review of the application is completed, the applicant organization will receive
a written critique called a Summary Statement.
HHS/CDC will contact those applicants under consideration for funding for additional information.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the Grants Management Officer (GMO) is the authorizing document. HHS/CDC will mail and/or e-mail this document to the recipient fiscal officer identified in the application.
Selection of the application for award is not an authorization to begin performance. Any cost incurred before receipt of the NoA is at the recipient’s risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See also Section IV.5. Funding Restrictions.
2. Administrative and National Policy Requirements
The Code of Federal Regulations 45 CFR Part 74 and Part 92 have details about policy requirements. For more information on the Code of Federal Regulations, see the National Archives and Records Administration at the following Internet address: http://www.access.gpo.gov/nara/cfr/cfr-table-search.html. Additional requirements are available in Section VIII. Other Information on this document or on the CDC website at the following Internet address: http://www.cdc.gov/od/pgo/funding/ARs.htm. These will be incorporated into the NoA by reference.
The
following terms and conditions will be incorporated into the NoA and will be
provided to the appropriate institutional official and a courtesy copy to the
PD/PI at the time of award.
2.A. Cooperative Agreement
The
following terms of award are in addition to, and not in lieu of, otherwise
applicable Office of Management and Budget (OMB) administrative guidelines, HHS
grant administration regulations at 45 CFR Parts 74 and 92 (Part 92 is
applicable when State and local Governments are eligible to apply), and other
HHS/PHS, and HHS/CDC grant administration policies.
The administrative and funding instrument used for
this program will be the cooperative agreement U49, an
"assistance" instrument (rather than an "acquisition"
instrument) in which substantial HHS/CDC programmatic involvement with the
awardees is anticipated during the performance of the activities. Under the
cooperative agreement, the HHS/CDC purpose is to support and stimulate the
recipients' activities by involvement in, and otherwise working jointly with,
the award recipients in a partnership role; it is not to assume direction,
prime responsibility, or a dominant role in the activities. Consistent with
this concept, the dominant role and prime responsibility resides with the
awardees for the project as a whole; although specific tasks and activities may
be shared among the awardees and the HHS/CDC may share specific tasks and
activities, as defined above.
2.A.1.
Recipient Rights and Responsibilities
The
Recipient will have the primary responsibility for the following:
Recipient
Organization will retain custody of and have primary rights to the information,
data and software developed under this award, subject to U.S. Government rights
of access consistent with current HHS, HHS/PHS, and applicable HHS/CDC
policies.
2.A.2.
HHS/CDC Responsibilities
An HHS/CDC
Project Scientist will have substantial programmatic involvement that is above
and beyond the normal stewardship role in awards, as described below:
Additionally, an
HHS/CDC agency program official or CIO program director will be responsible for
the normal scientific and programmatic stewardship of the award and will be
named in the NoA.
2.A.3. Collaborative Responsibilities
Not applicable.
3. Reporting
Recipient
Organization must provide HHS/CDC with an original, plus
two hard copies of the following reports:
1. Non-Competing Grant Progress Report, (use form PHS 2590, posted on the HHS/CDC website, http://www.cdc.gov/od/pgo/funding/forms.htm and at http://grants.nih.gov/grants/funding/2590/2590.htm, no less than 120 days prior to the end of the current budget period. The progress report will serve as the non-competing continuation application
2. Financial status report, no more than 90 days after the end of the budget period.
3. Final financial and performance reports, no more than 90 days after the end of the project period.
Recipient Organization must forward these reports by the U.S. Postal Service or express delivery to the Grants Management Specialist listed in the Agency Contacts section of this NoA.
Although the financial plans of the HHS/CDC CIO(s) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds, evidence of satisfactory progress by the recipient (as documented in required reports) and the determination that continued funding is in the best interest of the Federal government.
HHS/CDC encourages your inquiries concerning this FOA and welcomes
the opportunity to answer questions from potential applicants. Inquiries can
fall into three areas: scientific/research, peer review, and financial or
grants management issues:
1.
Scientific/Research Contacts:
Shannon Self-Brown
Division of Violence
Prevention
National Center for Injury
Prevention and Control
Centers for Disease Control and Prevention (CDC)
U.S. Department of Health and Human
Services
4770 Buford Hwy, NE, Mailstop K-60
Atlanta, GA 30341
Telephone: 770) 488-1284
FAX: 770-488-1011
Email:
SselfBrown@cdc.gov
2. Peer
Review Contacts:
Jane Suen
Scientific Review Administrator
National Center for Injury
Prevention and Control
Centers for Disease Control and Prevention (CDC)
U.S. Department of Health and Human
Services
4770 Buford Hwy, NE, Mailstop K-02
Atlanta, GA 30341
Telephone: (770) 488-4281
FAX: (770) 488-4422
Email: vJSuen@cdc.gov
3. Financial or
Grants Management Contacts:
Pamela Robbins Render, Grants Management Specialist
Procurement
and Grants Office
Centers for Disease
Control and Prevention
U.S. Department of Health and Human Services
2920
Brandywine Road, MS-K-70
Atlanta, GA 30341
Telephone:
(770) 488-2712
FAX: (770) 488-2670
Email: plr3@cdc.gov
4. General Questions Contacts:
Technical
Information Management Section
CDC
Procurement and Grants Office
U.S. Department of Health and
Human Services
2920
Brandywine Road
Atlanta, GA 30341
Telephone:
770-488-2700
Email: PGOTIM@cdc.gov
5. Special Guidelines for Technical Assistance:
NCIPC Website: For additional help in preparing your grant application please see the frequently asked questions section on the NCIPC webpage at: http://www.cdc.gov/ncipc/res-opps/2004pas.htm.
Section VIII. Other Information
Required
Federal Citations
Human
Subjects Protection:
Federal
regulations (45 CFR Part 46) require that applications and proposals involving
human subjects must be evaluated with reference to the risks to the subjects,
the adequacy of protection against these risks, the potential benefits of the
research to the subjects and others, and the importance of the knowledge gained
or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm). Additional HHS/CDC Requirements under AR-1 Human Subjects
Requirements can be found on the Internet at the following address: http://www.cdc.gov/od/pgo/funding/ARs.htm.
Requirements
for Inclusion of Women and Racial and Ethnic Minorities in Research
It
is the policy of the Centers for Disease Control and Prevention (CDC) and the
Agency for Toxic Substances and Disease Registry (ATSDR) to ensure that
individuals of both sexes and the various racial and ethnic groups will be
included in CDC/ATSDR-supported research projects involving human subjects,
whenever feasible and appropriate. Racial and ethnic groups are those defined
in OMB Directive No. 15 and include American Indian or Alaska Native, Asian,
Black or African American, Hispanic or Latino, Native Hawaiian or Other Pacific
Islander. Applicants shall ensure that women, racial and ethnic minority
populations are appropriately represented in applications for research
involving human subjects. Where clear and compelling rationale exist that
inclusion is inappropriate or not feasible, this situation must be explained as
part of the application. This policy does not apply to research studies when
the investigator cannot control the race, ethnicity, and/or sex of subjects.
Further guidance to this policy is contained in the Federal Register, Vol. 60,
No. 179, pages 47947-47951, and dated Friday, September 15, 1995.
Inclusions of Persons Under the Age of 21 in Research
The policy of CDC is that persons under the age of 21 must be included in all
human subjects research that is conducted or supported by CDC, unless there are
scientific and ethical reasons not to include them. This policy applies to all
CDC-conducted or CDC-supported research involving human subjects, including
research that is otherwise exempt in accordance with Sections 101(b) and 401(b)
of 45 C.F.R.
Part 46, HHS Policy for the Protection of Human Subjects. Therefore,
proposals for research involving human subjects must include a description of
plans for including persons under the age of 21. If persons under the age of 21
will be excluded from the research, the application or proposal must present an
acceptable justification for the exclusion.
In an extramural research plan, the investigator should create a section titled "Participation of persons under the age of 21." This section should provide either a description of the plans to include persons under the age of 21 and a rationale for selecting or excluding a specific age range, or an explanation of the reason(s) for excluding persons under the age of 21 as participants in the research. When persons under the age of 21 are included, the plan must also include a description of the expertise of the investigative team for dealing with individuals at the ages included, the appropriateness of the available facilities to accommodate the included age groups, and the inclusion of a sufficient number of persons under the age of 21 to contribute to a meaningful analysis relative to the purpose of the study. Scientific review groups at CDC will assess each application as being acceptable or unacceptable in regard to the age-appropriate inclusion or exclusion of persons under the age of 21 in the research project, in addition to evaluating the plans for conducting the research in accordance with these provisions.
The inclusion of children (as defined by the applicable law of the jurisdiction in which the research will be conducted) as subjects in research must be in compliance with all applicable subparts of 45 C.F.R. Part 46, as well as with other pertinent federal laws and regulations.
The policy of inclusion of persons under the age of 21 in CDC-conducted or CDC-supported research activities in foreign countries (including collaborative activities) is the same as that for research conducted in the United States.
Paperwork Reduction Act Requirements
Under the Paperwork Reduction Act, projects that involve the collection of information from 10 or more individuals and funded by a grant or a cooperative agreement will be subject to review and approval by the Office of Management and Budget (OMB).
Smoke-Free Workplace Requirements
CDC strongly encourages all recipients to provide a smoke-free workplace and to promote abstinence from all tobacco products. Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities that receive Federal funds in which education, library, day care, health care, or early childhood development services are provided to children.
Healthy People 2010The 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
priority areas. This PA is related to one or more of the priority areas.
Potential applicants may obtain a copy of "Healthy People 2010" at http://www.healthypeople.gov.
Lobbying
Restrictions
Applicants should be aware of restrictions on the use of HHS funds for lobbying of Federal or State legislative bodies. Under the provisions of 31 U.S.C. Section 1352, recipients (and their sub-tier contractors) are prohibited from using appropriated Federal funds (other than profits from a Federal contract) for lobbying congress or any Federal agency in connection with the award of a particular contract, grant, cooperative agreement, or loan. This includes grants/cooperative agreements that, in whole or in part, involve conferences for which Federal funds cannot be used directly or indirectly to encourage participants to lobby or to instruct participants on how to lobby.
In addition no part of CDC appropriated funds, shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress or any State or local legislature, except in presentation to the Congress or any State or local legislature itself. No part of the appropriated funds shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State or local legislature.
Any activity designed to influence action in regard to a particular piece of pending legislation would be considered "lobbying." That is lobbying for or against pending legislation, as well as indirect or "grass roots" lobbying efforts by award recipients that are directed at inducing members of the public to contact their elected representatives at the Federal or State levels to urge support of, or opposition to, pending legislative proposals is prohibited. As a matter of policy, HHS/CDC extends the prohibitions to lobbying with respect to local legislation and local legislative bodies.
The provisions are not intended to prohibit all interaction with the legislative branch, or to prohibit educational efforts pertaining to public health. Clearly there are circumstances when it is advisable and permissible to provide information to the legislative branch in order to foster implementation of prevention strategies to promote public health. However, it would not be permissible to influence, directly or indirectly, a specific piece of pending legislation
It remains permissible to use HHS/CDC funds to engage in activity to enhance prevention; collect and analyze data; publish and disseminate results of research and surveillance data; implement prevention strategies; conduct community outreach services; provide leadership and training, and foster safe and healthful environments.
Recipients of HHS/CDC grants and cooperative agreements need to be careful to prevent CDC funds from being used to influence or promote pending legislation. With respect to conferences, public events, publications, and "grassroots" activities that relate to specific legislation, recipients of HHS/CDC funds should give close attention to isolating and separating the appropriate use of HHS/CDC funds from non-CDC funds. HHS/CDC also cautions recipients of HHS/CDC funds to be careful not to give the appearance that HHS/CDC funds are being used to carry out activities in a manner that is prohibited under Federal law.
Prohibition on Use of CDC Funds for Certain Gun Control Activities
The Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act specifies that: "None of the funds made available for injury prevention and control at the Centers for Disease Control and Prevention may be used to advocate or promote gun control."
Anti-Lobbying Act requirements prohibit lobbying Congress with appropriated Federal monies. Specifically, this Act prohibits the use of Federal funds for direct or indirect communications intended or designed to influence a member of Congress with regard to specific Federal legislation. This prohibition includes the funding and assistance of public grassroots campaigns intended or designed to influence members of Congress with regard to specific legislation or appropriation by Congress.
In addition to the restrictions in the Anti-Lobbying Act, HHS/CDC interprets the language in the HHS/CDC's Appropriations Act to mean that HHS/CDC's funds may not be spent on political action or other activities designed to affect the passage of specific Federal, State, or local legislation intended to restrict or control the purchase or use of firearms.
Research Integrity
The signature of the institution official on the face page of the application submitted under this Funding Opportunity Announcement is certifying compliance with the Department of Health and Human Services (DHHS) regulations in Title 42 Part 93, Subparts A-E, entitled PUBLIC HEALTH SERVICE POLICIES ON RESEARCH MISCONDUCT.
The regulation places requirements on institutions receiving or applying for funds under the PHS Act that are monitored by the DHHS Office of Research Integrity (ORI) (http://ori.hhs.gov./policies/statutes.shtml).
For example:
Section 93.301 Institutional assurances. (a) General policy. An institution with PHS supported biomedical or behavioral research, research training or activities related to that research or research training must provide PHS with an assurance of compliance with this part, satisfactory to the Secretary. PHS funding components may authorize [[Page 28389]] funds for biomedical and behavioral research, research training, or activities related to that research or research training only to institutions that have approved assurances and required renewals on file with ORI. (b) Institutional Assurance. The responsible institutional official must assure on behalf of the institution that the institution-- (1) Has written policies and procedures in compliance with this part for inquiring into and investigating allegations of research misconduct; and (2) Complies with its own policies and procedures and the requirements of this part.
Health Insurance Portability and Accountability Act Requirements
Recipients of this grant award should note that pursuant to the Standards for Privacy of Individually Identifiable Health Information promulgated under the Health Insurance Portability and Accountability Act (HIPAA) (45 CFR Parts 160 and 164) covered entities may disclose protected health information to public health authorities authorized by law to collect or receive such information for the purpose of preventing or controlling disease, injury, or disability, including, but not limited to, the reporting of disease, injury, vital events such as birth or death, and the conduct of public health surveillance, public health investigations, and public health interventions. The definition of a public health authority includes a person or entity acting under a grant of authority from or contract with such public agency. HHS/CDC considers this project a public health activity consistent with the Standards for Privacy of Individually Identifiable Health Information and CDC will provide successful recipients a specific grant of public health authority for the purposes of this project.
Release and Sharing of Data
Only proposals submitted to NCIPC for individual research projects of $500,000 or more in total (direct and indirect) costs per year require the applicant to include a data-sharing plan. Because the ceiling for this FOA is below $500,000, a data sharing plan is not required.
Conference Disclaimer and Use of Logos
Disclaimer: Where a conference is funded by a grant or cooperative agreement, a subgrant or a contract the recipient must include the following statement on conference materials, including promotional materials, agenda, and internet sites:
Funding for this conference was made possible [in part] by [insert grant or cooperative agreement award number] from the Centers for Disease Control and Prevention(CDC) or the Agency for Toxic Substances and Disease Registry (ATSDR) . The views expressed in written conference materials or publications and by speakers and moderators do not necessarily reflect the official policies of the Department of Health and Human Services; nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S. Government.
Logos: Neither the HHS nor the CDC ( CDC includes ATSDR) logo may be displayed if such display would cause confusion as to the source of the conference or give the false appearance of Government endorsement. A non-federal entity’s unauthorized use of the HHS name or logo is governed by U.S.C. 1320b-10, which prohibits the misuse of the HHS name and emblem in written communication. The appropriate use of the HHS logo is subject to the review and approval of the Office of the Assistant Secretary for Public Affairs (OASPA). Moreover, the Office of the Inspector General has authority to impose civil monetary penalties for violations (42 C.F.R. Part 1003). Neither the HHS nor the CDC logo can be used on conference materials under a grant, cooperative agreement, contract or co-sponsorship agreement without the expressed, written consent of either the Project Officer or the Grants Management Officer. It is the responsibility of the grantee (or recipient of funds under a cooperative agreement) to request consent for the use of the logo in sufficient detail to assure a complete depiction and disclosure of all uses of the Government logos, and to assure that in all cases of the use of Government logos, the written consent of either the Project Officer or the Grants Management Officer has been received.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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