Department of Health and Human Services
Part 1. Overview Information
Participating Organization(s)

Centers for Disease Control and Prevention, www.cdc.gov

The policies, guidelines, terms, and conditions of the HHS Centers for Disease Control and Prevention (CDC) stated in this funding opportunity announcement (FOA) might differ from those used by the HHS National Institutes of Health (NIH). If written guidance for completing this application is not available on the CDC website, then CDC will direct applicants elsewhere for that information. 

Components of Participating Organizations

National Institute for Occupational Safety and Health (NIOSH)

Funding Opportunity Title

Occupational Safety and Health Training Project Grants (T03)

Activity Code

T03

Announcement Type

Reissue of PAR-10-288

Related Notices
  • NOT-OD-16-004 - NIH & AHRQ Announce Upcoming Changes to Policies, Instructions and Forms for 2016 Grant Applications (November 18, 2015)
  • NOT-OD-16-006 - Simplification of the Vertebrate Animals Section of NIH Grant Applications and Contract Proposals (November 18, 2015)
  • NOT-OD-16-011 - Implementing Rigor and Transparency in NIH & AHRQ Research Grant Applications (November 18, 2015)
Funding Opportunity Announcement (FOA) Number

PAR-15-352

Companion Funding Opportunity

None

Number of Applications

Only one application per institute or organization is allowed.

  Section III. 3. Additional Information on Eligibility.

Catalog of Federal Domestic Assistance (CFDA) Number(s)

93.262  

Funding Opportunity Purpose

The National Institute for Occupational Safety and Health (NIOSH), Centers for Disease Control and Prevention (CDC), invites grant applications for Training Project Grants (TPGs) that are focused on occupational safety and health training. NIOSH is mandated to provide an adequate supply of qualified personnel to carry out the purposes of the Occupational Safety and Health Act, and the TPGs are one of the principal means for meeting this mandate. The majority of TPGs are in academic institutions that provide high quality training in the core occupational safety and health disciplines of industrial hygiene (IH), occupational health nursing (OHN), occupational medicine residency (OMR), occupational safety (OS), as well as closely related allied disciplines. NIOSH also funds non-academic programs to meet specific training needs of targeted populations including firefighters, commercial fishermen and occupational health and safety interns.

Key Dates
Posted Date

September 22, 2015

Open Date (Earliest Submission Date)

October 15, 2015

Letter of Intent Due Date(s)

October 2, 2015; August 26, 2016; August 25, 2017; August 24, 2018; August 26, 2019

Application Due Date(s)

December 1, 2015; October 26, 2016; October 26, 2017; October 26, 2018; October 24, 2019

AIDS Application Due Date(s)

Not Applicable

Scientific Merit Review

January / February 2016; January / February 2017; January / February 2018; January / February 2019; January / February 2020.

Advisory Council Review

May 2016; May 2017; May 2018; May 2019; May 2020.

Earliest Start Date

July 1, 2016; July 1, 2017; July 1, 2018; July 1, 2019; July 1, 2020.

Expiration Date

November 4, 2019

Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the SF424 (R&R) Application Guide including the Supplemental Instructions to the SF424 (R&R) for Preparing Institutional Ruth L. Kirschstein National Research Service Award (NRSA) Application, except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.



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Table of Contents

Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information


Part 2. Full Text of Announcement
Section I. Funding Opportunity Description

The United States Public Health Service (PHS) is committed to achieving nationwide improvements in health for a society in which all people live long, healthy lives. The vision, mission, and goals are found in Healthy People 2020, a PHS-led national activity for setting priority areas to achieve better health in the United States by the year 2020. This FOA is closely linked to several overarching goals of Healthy People 2020, with the intent to prevent diseases, injuries, and deaths due to working conditions.

Background Information

Work-related injuries and illnesses have a significant public health impact, and part of NIOSH’s mission is to train the next generation of occupational safety and health (OSH) practitioners and researchers. The National Assessment of the Occupational Safety and Health Workforce (released in 2011) documents a significant shortfall in the supply of trained OSH professionals to meet current and future demand in the United States. The report provides evidence of the continued need to support OSH training and education in the core and allied OSH disciplines.

The Occupational Safety and Health Act of 1970 mandates that NIOSH provide an adequate supply of qualified personnel to carry out the purposes of the Occupational Safety and Health Act. NIOSH TPGs have a key role in helping meet this mandate and contribute to the Institute’s core mission of providing national and world leadership to prevent workplace illnesses and injuries.

Purpose

The purpose of this program is to support NIOSH TPGs, to address the burden of OSH in the United States by providing state-of-the-art training for the next generation of leaders in OSH practice and research. TPGs play a significant role in preparing the future OSH workforce to respond to new challenges posed by the changing nature of work. These changes are the inevitable result of technological advances, globalization, new and emerging risks, occupational health disparities associated with the changing demographics of the US workforce, and a myriad of other factors.

The TPGs provide well-trained graduates to meet the demand for a professional OSH workforce for federal, state, and local government agencies; not-for-profit agencies; industry; academia; business; healthcare; and labor organizations. TPGs help meet our nation’s need for skilled, knowledgeable practitioners and researchers in OSH and enhance the diversity of the OSH workforce.

NIOSH TPGs help translate scientific discoveries into practice through effective education, training, and outreach. TPG trainees and key personnel collaborate with stakeholders to develop innovative approaches to improving workplace safety and health, by the translation of research to practice and prevention through design. Information on training grants supported by NIOSH are provided on NIOSH’s website at NIOSH Program Portfolio Training Grants.

Essential Characteristics of NIOSH TPGs

The majority of TPGs are located in academic institutions across the country and provide undergraduate, graduate, and academic certificate training in core and closely related allied disciplines of OSH. Some TPGs are in located in non-academic settings meeting specific OSH training needs of a targeted audience. Through high-quality and rigorous training programs, TPGs improve the safety and health of our nation’s workforce.

Needs Assessment. TPGs must document that their proposed training program(s) meet specific regional or national workforce needs and demands. Tools such as surveys of employers, alumni, and other stakeholders in safety and health may be used to document this need. Applicants are requested to consider the supply and demand findings in the National Assessment of the Occupational Safety and Health Workforce (released in 2011). Evidence of meeting needs should include a discussion of how the proposed program(s) will assist their OSH graduates with successful placement in positions as practitioners or researchers in OSH soon after completion of training.

Regional Presence. TPGs should demonstrate collaborative efforts by working with a diverse and broad range of organizations to enhance OSH training in their region. Collaboration with other institutions should be considered, including historically black colleges and universities; businesses; federal, state or local public health and regulatory agencies; and labor and professional associations. Applicants must identify other TPGs and ERCs in their HHS Federal Health Region and describe how they will address any overlap in activities between TPGs and ERCs.

Advisory Committee. TPGs must have an Advisory Committee of three or more individuals who can provide guidance to the program’s leadership. The Advisory Committee may include representatives of labor, industry, business, government agencies, academic institutions and professional associations. The Advisory Committee should meet at least annually and advise the TPG leadership on setting and reaching goals and ensuring that the TPG is progressive and is meeting local, regional or national workforce needs.

Recruitment and Retention Plan to Enhance Diversity. NIOSH remains committed to increasing the participation of individuals from underserved and underrepresented racial and ethnic groups, as well as persons with disabilities, in OSH research and practice. TPGs may dedicate funds for recruitment activities to attract trainees from underrepresented and underserved groups to training programs, and for collaboration with academic institutions serving minority and other underrepresented populations, such as tribal colleges and universities, historically black colleges and universities, and Hispanic-serving institutions.

Evaluation Plan. The application must describe an evaluation plan to review and determine the quality and effectiveness of the TPG. This should include plans to obtain feedback from trainees, employers, Advisory Committee members, and other stakeholders to help identify weaknesses and strengths in the program and to provide suggestions for continual improvement. Trainees’ career placements and advancements, professional certifications earned and publications (if applicable) should also be considered.

Essential Characteristics for Academic Training Programs:  NIOSH will support high quality academic training programs and academic certificate programs in core OSH disciplines of Industrial Hygiene (IH), Occupational Health Nursing (OHN), Occupational Medicine Residency (OMR), and Occupational Safety (OS) and in closely related allied disciplines. Applicants are encouraged to take advantage of the unique strengths and capabilities of their faculty and institutions, and to develop new and innovative academic programs in core and allied disciplines that are relevant to worker health and safety. Allied disciplines include, but are not limited to:  industrial toxicology, occupational epidemiology, occupational health psychology, occupational health services, and agricultural safety and health.

Academic training programs should have a strong history of attracting highly qualified and highly motivated trainees and of maintaining a critical mass of students for a viable, sustainable program. Academic programs should have faculty with a history of public health practice or independent research support.

Each academic program should provide trainees with core competencies to be successful in their field of study, including critical thinking, effective leadership, and communication skills. Clinical rotations and field experiences across sectors and settings are encouraged, to provide trainees with a broad understanding of the working environment. A TPG may provide training in up to 4 core or allied OSH academic programs as resources allow. Applicants are encouraged to consider the discipline-specific competency recommendations in the National Assessment of the Occupational Safety and Health Workforce [2011].

OMR programs must be fully accredited by the Accreditation Council for Graduate Medical Education (ACGME). NIOSH funding may be used to support OMR training in the following pathways, as described by the American Board of Preventive Medicine under Certification Requirements (www.theabpm.org/requirements.cfm):

  • Residency Pathway
  • Complementary Pathway
  • Special Pathway

Physicians in the Complementary and Special Pathways are eligible for NIOSH support to encourage more qualified physicians to enter the field of occupational medicine. The Complementary and Special Pathways must be administered by an OMR Program accredited by the Accreditation Council for Graduate Medical Education (https://www.acgme.org/acgmeweb/).

Accreditation of other training programs is not required but is strongly encouraged if appropriate to the field (for example, ABET accreditation for engineering and industrial hygiene programs, http://www.abet.org).

NIOSH funding may be used to support training in core and allied disciplines for undergraduate and advanced degrees, including, but not limited to:  BS, BSN, MSN, MOH, MSPH, MPH, MS, DrPH, ScD, PhD, and DNP. NIOSH funding may also be used to support students in academic certificate programs (post-baccalaureate level only) in the core and allied disciplines of OSH. Non-academic certificate programs are not authorized under this program.

Applicants may request support for academic certificate trainees under their academic training program at the post-baccalaureate level only. Trainees must meet the admission requirements for the academic certificate program of the institution. Academic certificate trainees may receive support through NIOSH funds for tuition and fees, but may not receive stipends, travel support, or support for other non-tuition expenses. The academic certificate program must be described and recognized as a formal academic program by the applicant institution, with courses and experiences to enhance trainees’ skills, knowledge, and practice in OSH. The need for academic certificate training must be fully documented.

Required Academic Content. Trainees at the graduate level must be instructed in the responsible conduct of research. NIOSH follows the NIH policies for this requirement (see http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-10-019.html. Topics should include scientific integrity (including specific responsibilities of the institution and the student), conflict of interest, responsible authorship, policies for handling misconduct, data management, data sharing, and policies regarding the use of human and animal subjects.

Academic training programs supported by NIOSH have been developed to meet specific OSH training needs and demands for workforce safety and health. For each academic training program, and if applicable, each academic certificate program proposed, the applicant should thoroughly describe:

  • A documented need for the program;
  • The Program Director’s qualifications in managing a high quality academic training program and academic certificate program;
  • The program’s curriculum, with core competencies that will fully prepare trainees to be effective and successful in OSH;
  • The program’s faculty and their qualifications and history of success in OSH academic training, academic certificate training, research or practice;
  • Details on past performance including experience with past trainees’ career placements and advancements after graduation;
  • Plans for the recruitment, retention, and graduation of trainees from underserved and underrepresented groups;
  • An evaluation plan to determine the program’s effectiveness and impact.

Essential Elements for Non-Academic Training Project Grants. Non-academic training programs supported by NIOSH have been developed to meet specific training needs of targeted populations. Applicants should thoroughly describe: 

  • A documented need for the training program and its targeted audience;
  • The Program Director’s qualifications in managing a high quality training program;
  • The training program’s learning objectives and specific aims to have an effective and successful training program;
  • The program’s faculty and their qualifications and history of success in OSH training;
  • Plans for the recruitment, retention, and completion of training (including trainees from underserved and underrepresented groups) and experience with past trainees’ career placement and advancements after completion of training;
  • An evaluation plan to determine the program’s effectiveness and impact.
Section II. Award Information
Funding Instrument

This funding opportunity announcement uses the T03 award mechanism. The PD/PI will be solely responsible for planning, directing, and executing the proposed project.

This FOA uses “just-in-time” information concepts (see SF424 (R&R) Application Guide). It also uses the non-modular SF 424 (R&R) budget format. Applicants must complete and submit detailed categorical budget requests using the SF424 Research and Related (R&R) Budget Component found in the application package for this FOA.

Application Types Allowed

New Applications.


Renewal Applications. Applicants may submit a renewal application (formerly called a competing continuation) for additional years of funding and must provide a Letter of Intent no later than 60 days prior to the pending application receipt date. Applicants funded under PAR-10-288 who decide to compete early are requested to inform NIOSH of their plans as soon as possible, but no later than 60 days before the pending receipt date.

Revision Applications. Applicants may submit a revision application (formerly called a competing supplement) to expand the scope of their currently funded project. The revision application shall not exceed the length of the current grant award. In addition, proposals for new academic programs must be for a period of at least two years. TPGs currently funded under PAR-10-288 may submit revision applications under this FOA for additional academic degrees, residency or academic certification programs (post-baccalaureate only).

 Resubmission Applications. Applicants may submit one resubmission (formerly called a revision or amended) application, but must include an Introduction addressing the previous peer review critique (Summary Statement).

Funds Available and Anticipated Number of Awards

The total amount of funds awarded under this program is approximately $3 million per year for new applications, renewal applications, and revision applications. The number of awards for this program is between 20 and 30 depending on the quality of the applications and funds available. Each year the number of new renewal awards will vary between 1 and 10 depending on the number of awards that have ended. The anticipated start date for these awards is July 1 of the year following application submission.

Allowable costs must be consistent with HHS policy and be reasonable, allocable, well documented and fully justified for the training program proposed in the application. Grant funds may not be used to supplant funds otherwise available at the applicant institution.

Follow the instructions for completing the budget information in the SF 424 (R&R) application, using the Research & Related (R&R) budget.

Trainee Costs and Training-Related Costs

Trainee Costs:  A minimum of 70% of requested direct costs must go to support Trainee Costs that provide stipends, tuition and fees, and trainee travel. A maximum of 30% direct costs of the TPG budget may go to support Training-Related Expenses that include salary support for faculty and staff, supplies, equipment and non-trainee travel.

Applicants may request trainee support for Academic Certificate Training programs in approved graduate level core or allied disciplines of OSH. Trainee support for academic certificate programs is limited to tuition and fee and included in the minimum 70% allocation of Trainee Costs.

Trainees may receive support for up to four years at the bachelor level; up to five years of support at the predoctoral level and three years of support at the postdoctoral level (OMR only). Any exception to the maximum period of support requires a waiver from NIOSH based on a justification submitted by the institution.

NIOSH Trainee Stipends:  Stipends are provided as a subsistence allowance to help trainees defray living expenses during the training experience. Stipends are not provided as a condition of employment with either the Federal Government or the awardee institution. Stipends are not allowed for part-time trainees or academic certificate trainees. Stipends may not exceed the NIH stipend levels, determined by the NIH Ruth L. Kirschstein National Research Service Award (NRSA), described at grants1.nih.gov/training/nrsa.htm.

There is an exception for OMR programs, where stipends may be requested above the NIH NRSA guidelines if the applicant institution requires a higher postgraduate year (PGY) level for OMR trainees. These requests must be fully justified and must include documentation of the institution’s requirements. Applicants may determine the most appropriate allocation of stipends based on local and regional need and competition.

Tuition and Fees:  The institution may request tuition and fees (including appropriate health insurance) only to the extent that the same resident or nonresident tuition and fees are charged to regular non-Federally supported students.

Trainee Travel:  Trainee travel, including attendance at scientific meetings that the institution determines to be necessary to the individual's training, is an allowable trainee expense. Travel support for a training experience away from the institution may be permitted and requests may be submitted to NIOSH at any time during the award period.

Expenses for foreign travel must be clearly justified and receive prior approval from the assigned NIOSH Scientific Program Official and CDC Grants Management Specialist.

For OMR programs, applicants may request funds for other necessary costs required for the residency training, such as malpractice insurance, hospital parking and other required expenses for residents at the institution.

Training-Related Expenses:  Training-related expenses cannot exceed 30% of direct costs. Funds may be requested to defray the cost of training related expenses such as salary support for faculty and staff, consultant costs, equipment, supplies, and non-trainee travel expenses.

Recruitment and Retention Plan to Enhance Diversity:  Include these activities in the budget under “Other Direct Costs”. A detailed budget for this activity is not required; however, in the budget justification, the Program Director should describe the use of these funds.

Indirect Costs

Indirect Costs (also known as Facilities & Administrative F&A Costs) are limited to 8% of total direct costs (exclusive of tuition, fees and equipment greater than $5,000 and subcontracts in excess of $25,000), rather than on the basis of a negotiated rate agreement.

Award Budget

The following lists the limits on budget requests:

Undergraduate Programs may request a total budget of up to $50,000/year;

Graduate Programs may request a total budget of up to $150,000/year; and

Occupational Medicine Residency Programs may request a total budget of up to $250,000/year.

Budget requests for non-academic programs may vary, but the budget must be clearly justified.

Award Project Period

Applicants submitting a new application may request a project period of up to 3 years.

Applicants submitting renewal applications may request a project period of up to 5 years.

Other Award Budget Information

Application Research Plan Component Length.  Not Applicable

Eligible Institutions / Organizations.  Institutions / organizations listed in Part II, Section III are eligible to apply. 

Eligible Project Directors / Principal Investigators (PD/PIs).  Individuals with the skills, knowledge and resources necessary to carry out the functions of the proposed TPG are invited to work with their institution/organization to develop an application for support. Individuals from underserved and underrepresented racial and ethnic groups, as well as individuals with disabilities, are always encouraged to apply for CDC/NIOSH support such as this funding opportunity. To help assure the stability and viability of academic training programs, the Program Director must be a full-time faculty member. For non-academic training programs, there should be evidence of sufficient level of effort and support for the Program Director for the program to be highly successful.

Number of Applications per Institution.  Only one application per institution or organization is allowed. For the purpose of this FOA, an applicant educational institution is considered to be the main campus of the institution as listed in the U.S. Department of Education Database of Accredited Postsecondary Institutions and Programs.

Number of PDs/PIs.  Only one PD/PI may be designated on the application.

Special Date(s).  The FOA uses nonstandard due dates.

Application Materials.  See Part II, Section IV for application materials.

Section III. Eligibility Information
1. Eligible Applicants
Eligible Organizations

Higher Education Institutions

  •  Public/State Controlled Institutions of Higher Education
  •  Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for CDC/NIOSH support as Public or Private Institutions of Higher Education:

  • Hispanic-serving Institutions
  •  Historically Black Colleges and Universities (HBCUs)
  •  Tribally Controlled Colleges and Universities (TCCUs)
  •  Alaska Native and Native Hawaiian Serving Institutions
  •  Asian American Native American Pacific Islander Serving Institutions (AANAPISIs)

Nonprofits Other Than Institutions of Higher Education

  •  Nonprofits with 501(c)(3) IRS Status (Other than Institutions of Higher Education)
  •  Nonprofits without 501(c)(3) IRS Status (Other than Institutions of Higher Education)

For-Profit Organizations

  •  Small Businesses
  •  For-Profit Organizations (Other than Small Businesses)

Governments

  •  State Governments
  •  County Governments
  •  City or Township Governments
  •  Special District Governments
  •  Indian/Native American Tribal Governments (Federally Recognized)
  •  Indian/Native American Tribal Governments (Other than Federally Recognized)
  •  Eligible Agencies of the Federal Government
  •  U.S. Territory or Possession

Other

  •  Independent School Districts
  •  Public Housing Authorities/Indian Housing Authorities
  •  Native American Tribal Organizations (other than Federally recognized tribal governments)
  •  Faith-based or Community-based Organizations
  •  Regional Organizations
Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.

Required Registrations

Applicant Organizations

  • Dun and Bradstreet Universal Numbering System (DUNS) - All registrations require that applicants be issued a DUNS number. After obtaining a DUNS number, applicants can begin both SAM and eRA Commons registrations. The same DUNS number must be used for all registrations, as well as on the grant application.
  • System for Award Management (SAM) (formerly CCR) – Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
  • eRA Commons - Applicants must have an active DUNS number and SAM registration in order to complete the eRA Commons registration. Organizations can register with the eRA Commons as they are working through their SAM or Grants.gov registration. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
  • Grants.gov – Applicants must have an active DUNS number and SAM registration in order to complete the Grants.gov registration.
Eligible Individuals (Principal Investigator)

Any individual with the skills, knowledge, and resources necessary to carry out the proposed training program as the Principal Investigator (PI) is invited to work with his/her organization to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for HHS/CDC/NIOSH programs. PIs should have the experience and expertise relevant to complex, interdisciplinary OSH training programs.

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current HHS Grants Policy Statement.

3. Additional Information on Eligibility
Number of Applications

Only one application per institute or organization. An educational institution may submit one Training Project Grant application, with up to 4 academic training programs under this announcement. For the purpose of this FOA, an applicant educational institution is considered to be the main campus of the institution as listed in the U.S. Department of Education Database of Accredited Postsecondary Institutions and Programs.

For non-academic training programs, an organization or institution may submit one application requesting support for one training program.

NIOSH Trainee Citizenship. A NIOSH trainee must be a citizen or a noncitizen national of the United States or have been lawfully admitted for permanent residence at the time of appointment. Noncitizen nationals are people, who, although not citizens of the United States, owe permanent allegiance to the United States. They generally are people born in outlying possessions of the United States (e.g., American Samoa and Swains Island). Individuals who have been lawfully admitted for permanent residence must have a currently valid Permanent Resident Card (USCIS Form I-551) or other legal verification of such status. Individuals on temporary student visas are not eligible.

Post-doctoral trainees (OMR only) must meet the NIH guidelines for support under the National Research Service Award. See the following web site for further information on the NIH guidelines: https://grants.nih.gov/grants/guide/pa-files/PA-10-036.html.

Renewal Applications: Applicants may submit a renewal application for additional years of funding.

Revision Applications:  Applicants may submit a revision application to expand the scope of their currently funded project.

Resubmission Applications: Applicants may submit one resubmission application, but the resubmission must include an Introduction addressing the previous peer review critique (Summary Statement).

Section IV. Application and Submission Information
1. Request Application Information

Applicants must download the SF424 (R&R) application forms. Refer to the SF424 (R&R) Application Guide for this FOA through Grants.gov/Apply.

For further assistance, contact the HHS/CDC Procurement and Grants Office Technical Information Management Section (PGO TIMS) staff at 770.488.2700 or pgotim@cdc.gov.

Telecommunication for the hearing impaired or disabled is available at TTY 1-888-232-6348.

2. Content and Form of Application Submission

The application must be prepared using the SF424 (R&R) application forms for this FOA through Grants.gov/Apply and in accordance with the SF424 (R&R) Application Guide (https://grants.nih.gov/grants/funding/424/index.htm).

The SF 424 (R&R) Application Guide is critical to submitting a complete and accurate application. Some fields within the SF 424 (R&R) application components, although not marked as mandatory, are required by NIH (e.g., the “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component must contain the PD/PI’s assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see “Frequently Asked Questions – Application Guide, Electronic  Submission of Grant Applications.”

Applicants for academic programs must complete tables found at: cdc.gov/niosh/oep/funding.

The following is the expected format for the Table of Contents in preparing a TPG application for Academic Training Programs.

Face Page

Table of Contents

Project / Performance Sites

Research & Related Other Project Information

  • Project Summary / Abstract
  • Public Health Relevance Statement
  • Bibliography & References Cited
  • Facilities & Other Resources
  • Advisory Committee (limited to 1 page)

Research & Related Senior / Key Personnel

  • Biographical Sketches for each Key Personnel

Research & Related Budget:  Year 1 - Year 5 for renewal applications; Year 1 - Year 3 for new applications.

  • Budget Justification

Research & Related Budget – Cumulative Budget

PHS 398 Specific Cover Page Supplement

PHS 398 Checklist

PHS 398 Research Training Program Plan (Limited to 10 pages and should include Background, Program Plan, Recruitment and Retention Plan to Enhance Diversity, and Plan for Instruction in the Responsible Conduct of Research)

1.  Introduction. (Required for RESUBMISSION applications – ONLY – limited to 1 page)

2. Background. Document the need for the program; provide the rationale for the training program and the potential for a positive impact on OSH training.

3. Program Plan. Describe the Program Director’s qualifications for providing leadership for the program; describe participating key personnel’s qualifications and expertise relevant to the training and level of collaboration in teaching and mentoring trainees; describe the program’s evaluation plan; concisely describe the program’s curriculum; provide details on past performance, including trainees’ career advancement in OSH practice or research.

4. Recruitment and Retention Plan to Enhance Diversity. Describe past and future efforts to recruit and retain trainees from underserved and underrepresented group, include innovative approaches in recruitment and retention efforts.

5. Plan for Instruction in the Responsible Conduct of Research. Applicable to graduate and postdoctoral training programs, describe the plan to provide trainees with instruction on scientific integrity and ethical principles in research.

6. Progress Report (for RENEWAL applications only). Describe the accomplishments of the training program; summarize the accomplishments of the trainees and faculty. This section is limited to 5 pages and applies only to renewal applications.

7.  Human Subjects. Where appropriate, include a list of reviewed research project grants and their IRB approval dates or exemption status.

8. Vertebrate Animals.Where appropriate, include a list of reviewed research project grants and their IRB approval dates or exemption status.

9. Select Agent Research.Not applicable.

10. Multiple PD/PI Leadership Plan. Not applicable.

11. Consortium/Contractual Arrangements. Describe arrangements between the applicant and other organizations.

12. Participating Faculty Biosketches.  (Limited to 5 pages each)

13. Data Tables   Applicants must include tables that can be accessed at www.cdc.gov/niosh/oep/funding.  The information in the tables will be used by reviewers and NIOSH staff during the peer review process and in reaching funding decisions.

14.  Letters of Support. Provide the sponsoring institution’s letter of commitment and support, as well as letters from other stakeholders.  

PHS 398 Training Budget – Submit Years 1-5 for renewal applications; submit Years 1-3 for new applications.

PHS 398 Training Budget – Cumulative Budget

Appendix 

Applicants must follow the specific instructions on Appendix materials as described in the SF424 (R&R) Application Guide (See https://grants.nih.gov/grants/funding/424/index.htm). Do not use the Appendix to circumvent the page limitations. An application that does not comply with the required page limitations may be delayed in the review process.

Appendices are needed but should include only those materials appropriate for the proposed TPG program. Appendices may include course descriptions, sample curricula and schedules, and course brochures (for non-academic training programs). Syllabi for academic disciplinary areas and publications and manuscripts that are related to OSH research projects may also be included.

A Table of Contents for the Appendix is required.

If an institution is submitting for more than one academic program, each individual academic program should constitute a complete and discrete unit within the application, following the PHS 398 Research Training Program Plan above. Each academic training program will be reviewed separately.

In preparing a TPG application for Non-Academic Training Programs, please follow the same outline for a Table of Contents and insert ‘Not applicable’ for components that are not relevant to your application. An applicant may submit for one non-academic training program.

Applications Involving a Single Institution

This FOA allows for one Program Director within a single institution.

Applications Involving Multiple Institutions 

Applications with multiple institutions involved are not allowed under this FOA and applications with multiple institutions will be considered non-responsive.

3.  Submission Dates and Times

See Part 1.  Section III for information regarding the requirements for obtaining See Part I. Section III.1 for information regarding the requirements for obtaining a DUN and Bradstreet Universal Numbering System (DUNS) Number and for completing and maintaining and active System for Award Management (SAM) registration.

3.  A.  Submission, Review, and Anticipated Start Dates

Letters of Intent Receipt Date(s): October 2, 2015; August 26, 2016; August 25, 2017; August 24, 2018; August 26, 2019.

Application Due Date(s): December 1, 2015; October 26, 2016; October 26, 2017; October 26, 2018; October 24, 2019.

Peer Review Date(s): January/February, 2016; January/February, 2017; January/February 2018; January/February, 2019; January/February 2020.

Council Review Date(s): May 2016; May 2017; May 2018; May 2019; May 2020.

Earliest Anticipated Start Date: July 1, 2016; July 1, 2017; July 1, 2018; July 1, 2019; July 1, 2020.

Expiration Date: November 4, 2019.

3.  A.  1. Letter of Intent

Letters of intent are due 60 days prior to the application receipt date and should be sent electronically to NIOSH Scientific Review Officer, Nina L. Turner, Ph.D.at:  NTurner@cdc.gov and should include the:

Number and title of this FOA,
Name and Contact Information of TPG Program Director,
Applicant Institution, and
Program(s) that will be included in the application.

3.  B.  Sending an Application

Applications for this FOA are submitted to NIOSH through eRA Commons. To submit an application in response to this FOA, applicants should access this FOA through www.grants.gov/applicants/apply-for-grants.html. Applications must be submitted electronically.

PAPER APPLICATIONS WILL NOT BE ACCEPTED.

All attachments must be provided in PDF format, file names must be included with no spaces or special characters, and a .pdf extension must be used.

3. C. Application Processing

Applications may be submitted on or after the opening date and must be successfully received by Grants.gov no later than 5:00 p.m. local time (of the applicant institution or organization) on the application due date(s). If an application is not submitted by the due date(s) and time, the application may be delayed in the review process or not reviewed.

All applications must meet the following criteria to be considered “on-time”:

  • All registrations must be complete prior to the submission deadline
  • The application must receive a Grants.gov tracking number and timestamp (or eRA help desk ticket confirming a system issue preventing submission) by 5:00 p.m. local time of the applicant institution or organization.

Please visit https://grants.nih.gov/grants/ElectronicReceipt/support.htm for detailed information on what to do if Grants.gov or eRA system issues threaten your ability to submit on time.

Upon receipt, applications will be evaluated for completeness by the CSR and NIOSH. Incomplete applications will not be reviewed.

There will be an acknowledgement of receipt of applications from Grants.gov and the Commons. The submitting AOR/SO receives the Grants.gov acknowledgments. The AOR/SO and the PI receive Commons acknowledgments. Information related to the assignment of an application to a Scientific Review Group is also in the Commons.

Note: It is the responsibility of the applicant to check periodically on the application status in the Commons.

HHS/CDC will not accept any application in response to this FOA that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. The HHS/CDC will not accept any application that is essentially the same as one already reviewed. However, the HHS/CDC will accept a resubmission application, but such application must include an Introduction addressing the critique from the previous review.

4. Intergovernmental Review

Executive Order 12372 does not apply to this FOA.

5. Funding Restrictions

HHS grants policies as described in the HHS Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Requests for funds for renovation of existing facilities will not be allowed. Request to purchase substantial amounts of equipment (greater than $5,000) must be justified in terms of the critical nature of the equipment for the success of the overall training objectives of the TPG award.

A NIOSH trainee appointment may not be held concurrently with another federally sponsored fellowship, traineeship, or similar Federal award that provides a stipend or otherwise duplicates provisions of the NIOSH support.

Training-related expenses cannot exceed 30% of the total program budget for each academic program proposed.

Indirect costs are limited to 8% of total direct costs (exclusive of tuition, fees and equipment greater than $5,000 and subcontracts in excess of $25,000).

6. Other Submission Requirements and Information

All application instructions outlined in the SF424 (R&R) Application Guide are to be followed, with the following requirements for TPG applications:  Applicants must include tables that can be accessed at www.cdc.gov/niosh/oep/funding.html#train. The information in the tables will be used by reviewers and NIOSH staff during the peer review process and in reaching funding decisions.

To help ensure the stability of the TPG, the Program Director, must be full-time faculty or administrative staff. NIOSH funds may be used to defray the costs of faculty and staff salary support directly related to management of the TPG. Faculty support may not exceed 50% (.50 FTE) for any one faculty member. Salary support for administrative support personnel is not limited, but support should be clearly justified and fall within the other funding restrictions and allocations described in this FOA.

Trainees may receive up to 5 years of support at the predoctoral level and 3 years of support at the postdoctoral level (OMR only). Any exception to the maximum period of support requires a waiver from NIOSH, based on review of its justification from the individual and the institution. Stipends are not allowed for part-time trainees or trainees enrolled in academic certificate programs.

NIOSH Trainee Stipends

Stipends are provided as subsistence allowances to help defray living expenses during training. They are not provided as a condition of employment with either the Federal Government or the awardee institution. Stipends may be paid to eligible NIOSH trainees but not those who are part-time or enrolled in academic certificate programs.

Academic Programs:  Stipends may not exceed the NIH stipend levels, described at http://grants1.nih.gov/training/nrsa.htm, with applicants determining the most appropriate allocation of stipends based on local and regional need and competition. An exception is for OMR trainees. Stipends may be requested above the NIH NRSA guidelines if the applicant institution requires a higher postgraduate year (PGY) level for OMR trainees. These requests must be fully justified and must include documentation of the program requirements.

Tuition and Fees

The institution may request tuition and fees (including health insurance for the trainee only). These costs must be in line with the resident or nonresident tuition and fees charged to students who are not federally supported.

Other Trainee Costs

Travel, including attendance at scientific meetings that the institution determines to be necessary for training, is an allowable trainee expense. Additional support for travel to a training experience away from the institution may be permitted. Training experiences away from the parent institution must be justified considering the type of opportunities for training available, the manner in which these opportunities differ from and complement those offered at the parent institution, and the relationship of the proposed experience to the trainee's career stage and goals. This type of training requires prior approval from NIOSH. Correspondence requesting such training may be submitted to NIOSH at any time during the award period.

Expenses for foreign travel must be clearly justified and receive prior approval from NIOSH Scientific Program Official and CDC Grants Management Specialist.

For OMR training, applicants may request funds for other necessary costs for residency training, such as malpractice insurance and other required expenses for all residents at the institution.

Training-Related Expenses

Training-related expenses cannot exceed 30% of the total program budget for all academic programs. Funds may be requested to defray the cost of other training-related expenses such as salary support for faculty and staff, consultant costs, equipment, supplies, and travel expenses for non-trainees, TPG faculty and staff.

PD/PI Credential (Agency Log-in)

The HHS/CDC requires the PD or PI to fill in his or her Commons User ID in the “PROFILE – Project Director/Principal Investigator” section, in the “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component.

Organizational DUNS

The applicant organization must include its Data Universal Numbering System (DUNS) number in its Organization Profile in the eRA Commons. This DUNS number must match the DUNS number provided at CCR registration with Grants.gov.

Section V. Application Review Information

Important Update: See NOT-OD-16-006 and NOT-OD-16-011 for updated review language for applications for due dates on or after January 25, 2016.

1. Criteria

As part of the CDC mission, all applications submitted to the CDC in support of public health activities are evaluated for scientific and technical merit through the NIOSH peer review system. Only the review criteria described below will be considered in the review process.

Review criteria for Resubmission Applications, Renewal Applications, and Revision Applications can be found below in Additional Review Criteria. Only the review criteria described below will be considered in the review process.

Review and Selection Process

Applications that are complete will be evaluated for scientific and technical merit by an appropriate scientific review group in accordance with CDC/NIOSH peer review procedures using the stated review criteria.

Overall Impact

Reviewers will provide an overall impact/priority score for each proposed program, reflecting their assessment of the likelihood that the training program will 1) successfully meet stated goals and objectives and 2) impact occupational safety and health training, locally, regionally or nationally.   

Reviewers also will consider the Additional Review Criteria, described below. There are specific and separate review criteria for academic and non-academic training programs.

Scored Review Criteria

Reviewers will consider each of the review criteria below in determining scientific merit and give a separate score for each program of the TPG. An application does not need to be strong in all categories to be judged likely to have a major scientific impact.

Review Criteria for Academic Training Programs

Each academic program will be reviewed separately. The following review criteria are used to evaluate each academic training program and academic certificate program (if applicable): 1) Training Program and Environment, 2) Academic Training Program Director, 3) Academic Training Program Faculty, 4) Trainees, and 5) Training Record.

Training Program and Environment:

Does the applicant clearly document a need for the academic program? Will the proposed academic training program fill a gap in a specific regional or national workforce need?  Does the applicant reference the National Assessment of the Occupational Safety and Health Workforce (2011) or other sources in determining need for the academic training program in its region?  Does the applicant describe the potential impact of the program in meeting the regional and national needs for occupational safety and health training? Do the objectives, design and direction of the proposed academic training program ensure outstanding, interdisciplinary OSH training? Is the proposed training program designed to prepare students for successful and productive careers in OSH practice and / or research? Does the training program, through courses, training experiences, interdisciplinary experiences and other activities promote participation by all NIOSH trainees in highly significant, high quality events?  Does the academic program involve innovative approaches to training and education relevant to the OSH field?

Do the program faculty and key personnel have a record of providing the skills, knowledge, and experiences necessary for trainees to successfully compete for outstanding positions in business, industry, academia and other institutions or agencies?

Is there a rigorous evaluation plan to determine the effectiveness of the training program, including interdisciplinary activities? Are there plans to obtain and incorporate feedback from stakeholders, including current and former NIOSH trainees? Is there evidence of an active Advisory Council to guide the TPG leadership for continual improvement? Is there a formal plan to provide oversight of trainee progress and high quality mentoring for career guidance to provide the highest possible level of trainee success?

Does the academic training program have a successful retention history for underserved and underrepresented trainees? Does the training program’s past performance reflect successful recruitment and graduation of highly qualified and motivated trainees (success may be determined by the number of NIOSH trainees, trainee awards, presentations and publications, and employment history)?

Is there a critical mass of faculty and students to sustain the program?  Does the training program address the distinct workplace characteristics and worker health needs in the TPG’s region or target area?  Is the curriculum consistent with a high quality program? Does the applicant describe the accreditation status of the training program?

Are the training and research facilities and environment conducive to preparing trainees for successful careers as OHS practitioners or researchers? Is there evidence of an Institutional commitment to the training program’s goals? 

In addition to the review criteria above, academic certificate programs should describe the unique needs the proposed program will address and how certificate trainees will use their training to advance their OSH practice. What training needs will the academic certificate meet?  What special recruitment strategies have been developed to identify well-qualified, highly motivated trainees?  Are the application, review and selection processes for academic certificate trainees clearly described?  Will the academic certificate program be coordinated with the academic degree programs in the same specialty area to enhance trainee’s learning experience?  Is there a rigorous evaluation plan to determine the effectiveness of the academic certificate program?

Academic Training Program Director:

Does the Program Director have the scientific background, expertise, and administrative and training experience to provide strong leadership, direction, management, and administration of the proposed training program? Does the Program Director plan to commit sufficient effort to ensure the program’s success? Does the Program Director have a strong track record in successfully training and mentoring students?

In addition to the review criteria above, the academic certificate program should be under the leadership of a Program Director with the expertise to provide trainees with a learning experience that heightens their knowledge and skills in OSH practice. Does the Program Director have prior experience providing leadership for a high quality, relevant academic certificate program?

Academic Training Program Faculty:  Is the faculty highly qualified, with strong histories of teaching and obtaining support through other mechanisms (federal, state, or private sector)? Is the faculty accomplished OSH practitioners, or research investigators, as evidenced by peer-reviewed publications?

Are sufficient numbers of experienced academic training program faculty, with appropriate expertise and funding, available to support the trainees proposed in the application?  Does the TPG faculty have a strong record of training and mentoring at predoctorate or doctorate levels (if applicable)?  Is there an appropriate mixture of junior and established faculty, and is there a mechanism by which junior faculty will obtain guidance from the program to ensure their successful training and mentoring of trainees?

In addition to the review criteria above, the academic certificate program should offer a course of study with coursework taught by experienced, qualified program faculty. Do the faculty have prior experience providing teaching and mentoring for certificate trainees? Is there evidence of program faculty’s successful involvement in teaching certificate trainees?

Trainees:

Is there a recruitment plan with strategies to attract well-qualified, highly motivated candidates for the training program, including students from underrepresented and underserved populations?  Is there a competitive applicant pool in sufficient numbers to warrant the proposed size of the training program?  Does the application present a well-defined and transparent process, and set of criteria, for trainee selection?

Is there a sufficient strategy to monitor trainee progress to ensure the highest possible level of success for each trainee?

In addition to the review criteria above, academic certificate programs should clearly describe the applicant pool, eligibility requirements and admissions process for certificate trainees. Is there a strategy to monitor certificate trainee progress to ensure the highest possible level of success for each trainee?

Training Record:

How successful are NIOSH trainees in obtaining careers that advance the field of OSH?  Are the majority of students obtaining degrees within an appropriate timeframe? Does the program have an appropriate training record with regard to gender and diversity?  How well does this program integrate with and complement other programs in its region?

For trainees on a research path, is there evidence of career advancement and development, such as grants awarded, special honors or awards, a record of publications or patents?

In addition to the review criteria above for the academic training program and academic certificate program, the following review criteria are applicable: Are trainees instructed in the responsible conduct of research, including scientific integrity, conflict of interest, responsible authorship, data management, data sharing, and policies for handling misconduct and regarding the use of human and animal subjects?

In addition to the review criteria above, academic certificate programs should clearly describe the process and requirements for successful completion to obtain the academic certificate. Is there a strategy to capture certificate trainee’s career advancement after successful completion?

Review Criteria for Non-Academic Training Programs

The following review criteria are to be used for non-academic training programs.

Significance:

Significance is evaluated by considering the impact the TPG has in meeting an identified regional or national need for occupational safety and health training. Does the training program have the potential to successfully meet stated goals and objectives and impact the health and safety of the workforce through its training program? Does the creation or continuation of the training program advance the field of OSH?  Does the training program’s past performance reflect a successful track record of OSH training? Is there evidence that this program integrates with and complements other NIOSH supported training programs?

Key Personnel:

Does the TPG Program Director have experience in managing a high quality training program?  Are key personnel identified with strong histories of providing training in OSH to their target audience? Are the key personnel accomplished OSH practitioners or research investigators, as evidenced by their biosketches and experiences?

Innovation:

Does the training program involve innovative approaches to achieving and maintaining highly effective training relevant to the OSH field? Is there an innovative approach in recruiting underserved an underrepresented individuals?

Approach:

Is there an evaluation plan to determine the effectiveness of the training program?  Is there evidence of active participation by an Advisory Committee? Is the training curriculum consistent with a high quality training program in OSH? If applicable, what is the accreditation status of the training program? Does the training program have a successful history of reaching its intended target audience?  Are there plans to obtain and incorporate feedback from stakeholders, including current and former trainees to changes to improve performance?

Environment:

Will the training environment contribute to the probability of success for the TPG?  Is there evidence of organizational or institutional commitment to support the goals of the TPG?  Are the facilities and equipment adequate and appropriate to support the described OSH training?

2. Additional Review Criteria

As applicable to the project proposed, reviewers will consider the following additional items in the determination of scientific and technical merit, but they will not give separate scores for these items.

Protections for Human Subjects. Generally not applicable. Reviewers should bring any concerns to the attention of the Scientific Review Officer.

Inclusion of Women, Minorities, and Children. Generally not applicable. Reviewers should bring any concerns to the attention of the Scientific Review Officer.

Vertebrate Animals. Generally not applicable. Reviewers should bring any concerns to the attention of the Scientific Review Officer.

Biohazards. Generally not applicable. Reviewers should bring any concerns to the attention of the Scientific Review Officer.

Renewal Applications. When reviewing a renewal application, the committee will consider the progress made in the last funding period. The committee will consider the progress made in the last funding period, including on the Recruitment Plan to Enhance Diversity, and Training in the Responsible Conduct of Research. Does the application describe the program’s accomplishments over the past funding period(s)?  Are changes proposed that would improve or strengthen the career development experience? Is there evidence of a successful past training record of the PD/PI and mentors, including the success of former scholars in seeking independent support and establishing productive scientific research careers?

Revision Applications. When reviewing a revision application, the committee will consider the appropriateness of the proposed expansion of the scope of the project. If the Revision application relates to a specific line of investigation presented in the original application that was not recommended for approval by the committee, then the committee will consider whether the responses to comments from the previous scientific review group are adequate and whether substantial changes are clearly evident.

Resubmission Applications. When reviewing a resubmission application, the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.

3. Additional Review Considerations

As applicable to the project proposed, reviewers will address each of the following items but will not give scores for them or consider them in providing an overall impact score.

Budget and Period of Support. Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed training program.

Select Agent Research. Reviewers will assess the information provided in this section of the application, including (1) the Select Agent(s) to be used in the proposed research; (2) the registration status of all entities where Select Agent(s) will be used; (3) the procedures for monitoring possession, use, and transfer of Select Agent(s); and (4) the plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

Resource Sharing Plans

HHS/CDC policy requires that recipients of grant awards make research resources and data readily available for research purposes to qualified individuals within the scientific community after publication. Please see www.cdc.gov/maso/Policy/ReleasingData.pdf. Investigators responding to this funding opportunity should include a plan on sharing research resources and data.

4 .  Selection Process

All applications that are responsive to the criteria in the announcement and accepted for peer review will be discussed and assigned an overall impact / priority score. All applicants will receive a written critique.

Following initial peer review, the NIOSH Secondary Review Council (SRC) will provide a second level of review for programmatic relevance and balance. Applications submitted in response to this FOA will complete for available funds with all other recommended applications. The following will be considered in making funding decision:

  • Scientific, technical, and educational merit of the proposed project as determined by initial peer review,
  • Availability of funds,
  • Relevance of the proposed project to the program priorities, and
  • Institutional support for the program.
5.  Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) through the eRA Commons

If the application is under consideration for funding, HHS/CDC may request "just-in-time" information from the applicant. HHS grants policies as described in the HHS Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

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 is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the expense of the recipient.

2. Administrative and National Policy Requirements


Terms and Conditions will be incorporated into the award statement and will be provided to the Program Director as well as to the appropriate institutional official, at the time of award.

Training Project Grants may not be transferred from one institution to another.

 3. Reporting

The PD/PI will be expected to monitor and assess the program and submit all documents and reports as required. Recipient Organization must provide HHS/CDC with an original, plus one hard copies of the following reports:

Non-Competing Grant Progress Report, (use form PHS 2590, posted on the HHS/CDC website, and at no less than 120 days prior to the end of each budget period. The progress report will serve as the non-competing continuation application.

Financial status reports are required no more than 90 days after the end of each budget period.

Final financial and performance reports are required 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 FOA.

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.

Trainee Reporting Requirements: The institution must submit a completed Statement of Appointment (PHS Form 2271) for each trainee appointed or reappointed to the training grant within 30 days of appointment. Grantees must submit the PHS 2271 data electronically using the xTrain system. More information on xTrain is available at xTrain (eRA Commons). An appointment or reappointment may begin at any time during the budget period, but not before the budget period of the grant year.

A notarized statement verifying possession of permanent residency documentation must be submitted with the Statement of Appointment (PHS Form 2271). Individuals with a Conditional Permanent Resident status must first meet full (non-conditional) Permanent Residency requirements before receiving support.

Failure by the grantee institution to submit the required forms in a timely, complete, and accurate manner may result in an expenditure disallowance or a delay in any continuation funding for the award. Forms may be found on the NIH Website at https://grants.nih.gov/grants/forms.htm.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific program, peer review, and grants management issues:

1. Scientific Program Contact:
Elizabeth H. Maples, PhD
Scientific Program Officer
Office of Extramural Programs
National Institute for Occupational Safety and Health
1600 Clifton Road, N.E., Mailstop E74
Atlanta, GA 30333
Telephone: 404.498.2557       Email: emaples@cdc.gov

2. Peer Review Contact:

Nina L. Turner, Ph.D.
Review Team Leader
Scientific Review Officer
CDC/NIOSH/OEP
1095 Willowdale Road, Mailstop L1301
Morgantown, WV 26505-2845
Telephone: 304-285-5976
Fax: 304-285-6047
Email: NTurner@cdc.gov

3. Financial/Grants Management Contact:
Mary Pat Shanahan
Grants Management Specialist
Centers for Disease Control and Prevention
Procurement and Grants Office
OD, Environmental, Occupational Health and
Injury Prevention Services Branch -Team1
Procurement and Grants Office
626 Cochrans Mill Road
Pittsburgh, PA 15236-0070
Phone: 412.386.4453         E-mail: mshanahan@cdc.gov 

4. General Questions Contact:
Technical Information Management Section
HHS/CDC Procurement and Grants Office
U.S. Department of Health and Human Services
2920 Brandywine Road
Atlanta, GA  30341
Telephone:  770.488.2700

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.

Use of Animals in Research
Recipients of PHS support for activities involving live, vertebrate animals must comply with the PHS Policy on Humane Care and Use of Laboratory Animals (https://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf) as mandated by the Health Research Extension Act of 1985 (https://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm) as applicable. Additional HHS/CDC Requirements under AR-3 Animal Subjects Requirements can be found on at 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.

Inclusion 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.

HIV/AIDS Confidentiality Provisions
Recipients must have confidentiality and security provisions to protect data collected through HIV/AIDS surveillance, including copies of local data release policies; employee training in confidentiality provisions; State laws, rules, or regulations pertaining to the protection or release of surveillance information; and physical security of hard copies and electronic files containing confidential surveillance information.

Describe laws, rules, regulations, or health department policies that require or permit the release of patient-identifying information collected under the HIV/AIDS surveillance system to entities outside the public health department; describe also the measures the health department has taken to ensure that persons reported to the surveillance system are protected from further or unlawful disclosure.

Some projects may require Institutional Review Board (IRB) approval or a certificate of confidentiality.

HIV Program Review Panel Requirements
Compliance with Content of AIDS-Related Written Materials, Pictorials, Audiovisuals, Questionnaires, Survey Instruments, and Educational Sessions (June 1992) is required.

To meet the requirements for a program review panel, you are encouraged to use an existing program review panel, such as the one created by the State health department's HIV/AIDS prevention program. If you for your own program review panel, at least one member must be an employee (or a designated representative) of a State or local health department. List the names of the review panel members on the Assurance of Compliance form, CDC 0.1113. Submit the program review panel's report that all materials have been approved.

If the proposed project involves hosting a conference, submit the program review panel's report stating that all materials, including the proposed conference agenda, have been approved. Submit a copy of the proposed agenda with the application.

Before funds are used to develop educational materials, determine whether suitable materials already exist in the CDC National Prevention Information Network (NPIN). The website can be found at; http://www.nchstp.cdc.gov/od/infocenter/npin.htm.

Patient Care
Ensure that all STD or HIV infected patients enrolled in the proposed project will be linked to an appropriate local care system that can address their specific needs, such as medical care, counseling, social services, and therapy.

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

HHS/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 2020
The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2020," a PHS-led national activity for setting priority areas. This FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2020" at 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 HHS/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 HHS/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 HHS/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 Appropriations Act to mean that HHS/CDC 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.

Accounting System Requirements
The services of a certified public accountant licensed by the State Board of Accountancy or the equivalent must be retained throughout the project as a part of the recipient's staff or as a consultant to the recipient's accounting personnel. These services may include the design, implementation, and maintenance of an accounting system that will record receipts and expenditures of Federal funds in accordance with accounting principles, Federal regulations, and terms of the cooperative agreement or grant.

Capability Assessment
It may be necessary to conduct an on-site evaluation of some applicant organization's financial management capabilities prior to or immediately following the award of the grant or cooperative agreement. Independent audit statements from a Certified Public Accountant (CPA) for the preceding two fiscal years may also be required.

Proof of Non-profit Status
 Proof of nonprofit status must be submitted by private nonprofit organizations with the application. Any of the following is acceptable evidence of nonprofit status: (a) a reference to the applicant organization's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in section 501(c)(3) of the IRS Code; (b) a copy of a currently valid IRS tax exemption certificate; (c) a statement from a State taxing body, State Attorney General, or other appropriate State Official certifying that the applicant organization has a nonprofit status and that none of the net earnings accrue to any private shareholders or individuals; (d) a certified copy of the organization's certificate of incorporation or similar document that clearly establishes nonprofit status; (e) any of the above proof for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local nonprofit affiliate.


Security Clearance Requirement

All individuals who will be performing work under a grant or cooperative agreement in a HHS/CDC-owned or leased facility (on-site facility) must receive a favorable security clearance, and meet all security requirements. This means that all awardees employees, fellows, visiting researchers, interns, etc., no matter the duration of their stay at HHS/CDC must undergo a security clearance process.

Small, Minority, And Women-owned Business

It is a national policy to place a fair share of purchases with small, minority and women-owned business firms. The Department of Health and Human Services is strongly committed to the objective of this policy and encourages all recipients of its grants and cooperative agreements to take affirmative steps to ensure such fairness. In particular, recipients should:

Place small, minority, women-owned business firms on bidders’ mailing lists.

Solicit these firms whenever they are potential sources of supplies, equipment, construction, or services.

Where feasible, divide total requirements into smaller needs, and set delivery schedules that will encourage participation by these firms.

Use the assistance of the Minority Business Development Agency of the Department of Commerce, the Office of Small and Disadvantaged Business Utilization, DHHS, and similar state and local offices.

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.

Compliance with Executive Order 13279

Faith-based organization are eligible to receive federal financial assistance, and their applications are evaluated in the same manner and using the same criteria as those for non-faith-based organizations in accordance with Executive Order 13279, Equal Protection of the Laws for Faith-Based and Community Organizations. All applicants should, however, be aware of restrictions on the use of direct financial assistance from the Department of Health and Human Services (DHHS) for inherently religious activities. Under the provisions of Title 45, Parts 74, 87, 92 and 96, organizations that receive direct financial assistance from DHHS under any DHHS program may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as a part of the programs or services funded with direct financial assistance from DHHS. If an organization engages in such activities, it must offer them separately, in time or location, from the programs or services funded with direct DHHS assistance, and participation must be voluntary for the beneficiaries of the programs or services funded with such assistance. A religious organization that participates in the DHHS funded programs or services will retain its independence from Federal, State, and local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that it does not use direct financial assistance from DHHS to support inherently religious activities such as those activities described above. A faith-based organization may, however, use space in its facilities to provide programs or services funded with financial assistance from DHHS without removing religious art, icons, scriptures, or other religious symbols. In addition, a religious organization that receives financial assistance from DHHS retains its authority over its internal governance, and it may retain religious terms in its organization=s name, select its board members on a religious basis, and include religious references in its organization=s mission statements and other governing documents in accordance with all program requirements, statutes, and other applicable requirements governing the conduct of DHHS funded activities. For further guidance on the use of DHHS direct financial assistance see Title 45, Code of Federal Regulations, Part 87, Equal Treatment for Faith-Based Organizations, and visit the internet site: http://www.whitehouse.gov/government/fbci/

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 HHS/CDC will provide successful recipients a specific grant of public health authority for the purposes of this project.

National Historic Preservation Act of 1966

(Public Law 89-665, 80 Stat. 915)

The grantee’s signature on the grant application attests to their: (1) knowledge of the National Historic Preservation Act of 1966 (Public Law 89-665, 80 Stat. 915); and (2) intent to ensure all grant related activities are in compliance with referenced public law, as stated:

a.     Section 106 of the National Historic Preservation Act (NHPA) states:

The head of any Federal agency, having direct or indirect jurisdiction over a proposed Federal or Federally assisted undertaking in any State and the head of any Federal department or independent state agency having authority to license any undertaking,  shall, prior to the approval of the expenditure of any Federal funds on the undertaking or prior to the issuance of any license, as the case may be, take into account the effect of the undertaking on any district, site, building, structure, or object that is included in or is eligible for inclusion in the National Register. The head of any such Federal agency shall afford the Advisory Council on Historic Preservation established under Title II of this ACT a reasonable opportunity to comment with regard to such undertaking.

b.    Additionally, the NHPA also contains the following excerpt that forbids “anticipatory demolition:”

Each Federal agency shall ensure that the agency will not grant a loan, loan guarantee, permit, license, or other assistance to an applicant who, with intent to avoid the requirements of Section 106 of this Act, has intentionally, significantly, adversely affected a historic property to which the grant would relate or, having legal power to prevent it, allowed such significant adverse effect to occur, unless the agency, after consultation with the Council, determines that circumstances justify granting such assistance despite the adverse effect created or permitted by the applicant.

Conference Disclaimer and Use of Logos

Disclaimer: Where a conference is funded by a grant or cooperative agreement, a sub grant 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.

Cooperative Agreement Terms and Conditions of Award

Not Applicable

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