Department of Health and Human Services

Part 1. Overview Information

Participating Organization(s)

National Institutes of Health (NIH)

Components of Participating Organizations

National Institute on Minority Health and Health Disparities (NIMHD)

National Eye Institute (NEI)

National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)

All applications to this funding opportunity announcement should fall within the mission of the Institutes/Centers. The following NIH Offices may co-fund applications assigned to those Institutes/Centers.

Office of Research on Women's Health (ORWH)

Funding Opportunity Title
Comprehensive Care for Adults with Type 2 Diabetes Mellitus from Populations with Health Disparities (R01 Clinical Trial Optional)
Activity Code

R01 Research Project Grant

Announcement Type
New
Related Notices

None

Funding Opportunity Announcement (FOA) Number
PA-21-232
Companion Funding Opportunity
None
Assistance Listing Number(s)
93.307, 93.867, 93.847, 93.313
Funding Opportunity Purpose

This initiative will support innovative research to develop, test and evaluate multi-level/multi-component strategies (including models of health care) to effectively adapt and implement comprehensive clinical care for individuals with Type 2 diabetes mellitus from populations with health disparities concordant with recommended and evidence-based guidelines.

Key Dates

Posted Date
May 26, 2021
Open Date (Earliest Submission Date)
September 06, 2021
Letter of Intent Due Date(s)

Thirty (30) days before the application due date.

The following table includes NIH standard due dates marked with an asterisk.
Application Due Dates Review and Award Cycles
New Renewal / Resubmission / Revision (as allowed) AIDS Scientific Merit Review Advisory Council Review Earliest Start Date
October 05, 2021 * November 05, 2021 * January 07, 2022 * March 2022 May 2022 July 2022
February 05, 2022 * March 05, 2022 * May 07, 2022 * July 2022 October 2022 December 2022
June 05, 2022 * July 05, 2022 * September 07, 2022 * November 2022 January 2023 April 2023
October 05, 2022 * November 05, 2022 * January 07, 2023 * March 2023 May 2023 July 2023
February 05, 2023 * March 05, 2023 * May 07, 2023 * July 2023 October 2023 December 2023
June 05, 2023 * July 05, 2023 * September 07, 2023 * November 2023 January 2024 April 2024
October 05, 2023 * November 05, 2023 * January 07, 2024 * March 2024 May 2024 July 2024
February 05, 2024 * March 05, 2024 * May 07, 2024 * July 2024 October 2024 December 2024
June 05, 2024 * July 05, 2024 * September 07, 2024 * November 2024 January 2025 April 2025

All applications are due by 5:00 PM local time of applicant organization. All types of non-AIDS applications allowed for this funding opportunity announcement are due on the listed date(s).

Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.

Expiration Date
September 08, 2024
Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide, except where instructed to do otherwise (in this FOA or in a Notice from 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.

There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.

  1. Use the NIH ASSIST system to prepare, submit and track your application online.
  2. Use an institutional system-to-system (S2S) solution to prepare and submit your application to Grants.gov and eRA Commons to track your application. Check with your institutional officials regarding availability.

  3. Use Grants.gov Workspace to prepare and submit your application and eRA Commons to track your application.


  4. Table of Contents

Part 2. Full Text of Announcement

Section I. Funding Opportunity Description

Purpose:

The purpose of this Funding Opportunity Announcement (FOA) is to support innovative multidisciplinary, investigative, and collaborative research focused on developing and testing multi-level or multi-component strategies -including models of health care- that effectively adapt and implement recommended guidelines of comprehensive clinical care for individuals with Type 2 diabetes from populations with health disparities.

This FOA is built on a previous Notice of Special Interest (NOT-MD-20-026) which expires on May 8, 2021.

Key Definitions

NIH-designated U.S. health disparity populations include Blacks/African Americans, Hispanics/Latinos, American Indians/Alaska Natives, Asian Americans, Native Hawaiians and other Pacific Islanders, socioeconomically disadvantaged populations, underserved rural populations, and sexual and gender minorities (https://www.nimhd.nih.gov/about/overview/).

The term “multi-component” refers to the different components of the health care models (e.g., health care system organization, clinician decision support, clinical information system, patient self-management support, delivery system design and community and peer or family resources and support).

The term “multi-level” refers to the multi-dimensional framework of determinants relevant to understand and address minority health and health disparities. This concept is further described under the NIMHD Research Framework (https://www.nimhd.nih.gov/about/overview/research-framework/).

Background:

Most current national statistics reveal an overall prevalence of diabetes mellitus (all types) of 14.3%. The prevalence of diabetes mellitus among racial/ethnic minorities has consistently been significantly higher (more recently in the 20.6%-23.5% range or twice as high) as that of non-Hispanic Whites (NHWs) (11.3%) and is on the rise. In addition, the prevalence of self-reported diabetes mellitus in rural areas is 17% higher than in metropolitan areas, 20-55% higher in individuals from sexual and gender minority (SGM) groups than non-SGM individuals, and inversely associated with income and socioeconomic status.

The limited existing data on diabetes-related complications in U.S. populations with health disparities points towards a significant risk of and burden of complications. For instance, some studies have demonstrated that African Americans have four times and Asians and Pacific Islanders have 1.5 times increased risk for diabetic retinopathy (DR) than NHWs, and individuals from rural settings may have 21% greater risk of DR than those living in urban settings. Other studies have reported that the prevalence of DR in Hispanics/Latinos could be up to 46.9% and for American Indians/Alaska Natives 45.3%. Also, Hispanic/Latinos, African Americans and American Indians/Alaska Natives have 1.3-1.5 times greater risk for major amputations than NHWs. Regarding diabetic nephropathy, African Americans with Type 2 diabetes have been shown to have 1.5 greater risk of developing end-stage renal disease (ESRD) compared to NHWs. Within a staff model Health Maintenance Organization with diabetes registry, all racial and ethnic minority patients had a significant elevated risk of ESRD compared to NHW. Albuminuria – a known risk factor for coronary artery disease in many populations- has been associated with increased risk left ventricular systolic and diastolic dysfunction among American Indians with Type 2 diabetes. At the same time, from 1996 to 2016, studies have demonstrated a progressive decline in adjusted incidence of diabetes-related ESRD among African Americans (20% decline), American Indians/Alaska Natives (53% decline), and Hispanics/Latinos (33% decline) -no significant change among persons of Asian descent and 17% increase in NHWs- which has been attributed to increased prescription of angiotensin-converting enzyme inhibitors (ACEIs) or angiotensin receptor blockers (ARBs). In addition, the Strong Heart Study and the Hispanic Community Health Study/Study of Latinos have demonstrated significantly increased likelihood of microalbuminuria among American Indians and Hispanics/Latinos with prediabetes compared to those with normoglycemia.

On the other hand, completion rates of all or some of the recommended clinical assessments for persons with diabetes (e.g., hemoglobin A1c /lipid/blood pressure targets, annual fundoscopic exam, foot exam, urine albumin and estimated glomerular filtration rate, influenza/pneumonia vaccines and others) tend to be 10-30% lower for racial/ethnic minority populations than for NHWs. Compared to 25% in the U.S. States, only 7-11% of persons with diabetes in the U.S. territories Puerto Rico, U.S. Virgin Islands and Guam had engaged in biannual hemoglobin A1c testing, attendance to diabetes education classes, daily self-blood glucose monitoring, and annual foot exam. Persons with diabetes living in rural areas have 11-14% lower odds to have at least one foot exam or a fundoscopic exam in the past year than residents of urban areas. These lower completion rates may in part contribute to increased odds for preventable hospitalizations and readmissions.

Patient-centered models of care, like the chronic care model (CCM), have been recommended as effective frameworks for optimal diabetes care. The implementation and effectiveness of the full CCM -or some of its variations or components- in the management of Type 2 diabetes have been studied in different populations and settings in the U.S. Significant improvement in clinical outcomes, cardiovascular risk scores, and completion rates of recommended tests have been demonstrated by some studies. Other studies have demonstrated improvement in glycemic control with the integration of cultural competence at the self-management and community resources levels, but no consistent improvement with interventions at the delivery system level. On the other hand, low adherence at the clinician decision support level and lack of necessary infrastructure for sustainable tele-health care delivery may have hindered the potential impact of embedding digital technology within components of the CCM. The percent of patients from racial/ethnic minority groups participating in the previously mentioned studies ranged between 1% and 13%, and very few studies have been dedicated to developing and testing the CCM or other models of diabetes care for populations with health disparities or within the context of low-income/low-resource clinical settings.

Effective implementation of and adherence to recommended guidelines of care [e.g., assessment of risk of diabetes-related complications, setting optimal glycemic goals and control of cardiovascular disease (CVD) risk factors, designing a treatment plan, medical/dental/nutritional referrals, immunizations and other preventive services] are urgently needed for individuals with Type 2 diabetes from populations with health disparities. Effective strategies would be expected to have a positive impact on health outcomes across all populations, while potentially generating new information and research hypotheses on treatment effectiveness and precision medicine.

Research Objectives

The overarching goal of this FOA is to support innovative, multidisciplinary, and multi-level/multi-component research designed to optimize Type 2 diabetes care for populations with health disparities concordant with evidence-based guidelines. Proposed projects would be expected to develop and/or test and/or evaluate patient-centered strategies or health care models, which in addition to attainment of optimal glycemic control, would aim at attaining other goals related to recommended guidelines of care: annual fundoscopic exam, comprehensive foot evaluation at least once a year, annual urine albumin test, hemoglobin A1c testing at least two times a year or as needed, peripheral neuropathy assessment as needed -and other recommended assessments based on the patient’s health profile- optimal blood pressure and LDL-cholesterol control, and intake of ACEI or ARB/statin/aspirin and other treatments and preventive care, as indicated.

The effects of the implementation of these strategies or health care models on health outcomes and health care disparities, quality of life, optimal care of comorbidities, and prevention of short- and long-term complications associated with diabetes -including acute adverse events, infections, hypoglycemia, urgent/emergency care, hospitalizations, retinopathy and other ocular complications, nephropathy, neuropathy, lower extremity infections/amputations- are also of interest. In addition, the National Institute of Diabetes and Kidney and Digestive Diseases (NIDDK) is interested in interventions and approaches on increased screening of prediabetes and Type 2 diabetes and prevention of Type 2 diabetes in populations with health/health care disparities (see NIDDK Specific Research Areas of Interest below).

Research Methodology

The initiative will support interventions (especially multi-level or multi-component interventions), clinical trials (including cluster-randomized trials, pragmatic trials), quasi-experimental studies, mixed-methods studies, retrospective quantitative research, simulation modeling, policy evaluations, and evaluations of existing interventions and practices in health care settings serving U.S. populations with health disparities.

Specific Areas of Interest

Areas of interest include but are not limited to:

  • Studies on the effectiveness of individualization of guidelines of care for persons with Type 2 diabetes mellitus from populations with health/health care disparities based on age (e.g., older adults), sex/gender, race/ethnicity, urban/rural settings, pregnancy status, coexisting health conditions, and state of progression of the disease (e.g., newly diagnosed diabetes compared to advanced disease) and social determinants of health, including whether health care is provided in urban or rural settings.
  • Research on strategies to implement guidelines of care of persons with Type 2 diabetes mellitus (and other coexisting chronic health conditions) at risk of non-adherence or adverse events, including persons with cognitive impairment and/or complex illnesses and health regimens.
  • Innovative multi-level and/or multi-component strategies to implement recommended guidelines of care of persons with Type 2 diabetes (and other coexisting chronic health conditions) within the context of challenging housing- and/or work-related conditions or settings.
  • Studies that explore clinician decision-making and best practices related to prioritizing or integrating guidelines of care of persons with Type 2 diabetes within the context of coexisting health conditions.
  • Innovative multi-level or multi-component interventions that promote a proactive Type 2 diabetes care delivery and evaluate its effect on diabetes-related health outcomes and health care disparities. Such interventions include studies exploring the role of health information technology across different levels on patient self-management, patient-clinician shared decision making, and care coordination for diabetes and other coexisting chronic health conditions.
  • Innovative strategies that enhance Type 2 diabetes patient self-management, continuity of care, medical specialty referrals and/or shared patient care in health care settings with limited resources and clinical personnel. These strategies may include digital interfaces and electronic health records portals, among others.
  • Studies that integrate clinician-level factors (e.g., decision support, adherence to recommended guidelines of care) and patient-level factors (e.g. self-management, self-monitoring devices and digital applications, adherence to treatment) into shared decision making, and evaluate its effect on improving health outcomes, and reducing short- and long-term complications related to Type 2 diabetes and health care disparities.
  • Studies that integrate clinician-level factors (e.g., decision support, adherence to recommended guidelines of care) and patient interpersonal level factors (e.g., family unit, caregivers, peers, or social support networks) to enhance patients’ adherence to treatment and/or self-management, and its effect on reducing on short- and long-term complications related to Type 2 diabetes, and diabetes care disparities.
  • Studies that explore the effect of trust on communication between patients with Type 2 diabetes and clinician(s) and/or patients and health care system(s), and subsequently on diabetes health outcomes and health care disparities. Studies that further explore the building of an effective patient-clinician relationship are of interest.
  • Studies that identify contextual factors that mediate or contribute to the effectiveness of Type 2 diabetes treatment outside of the clinical/health care setting and evaluate the impact of that interaction on diabetes-related outcomes. Examples include social determinants of health (e.g., as defined in the Phen-X toolkit, individual and community sociocultural factors, community resources), ongoing or previous interventions at the community level, natural experiments resulting from policy changes, and interventions involving other sectors – transportation, housing, justice, education, infrastructure, water/energy, and recreation.
  • Studies that inform on and evaluate the impact of changes in local, state, and federal health care and non-health care policies (e.g., laws/policies regarding insurance coverage, eligibility for services, workplace safety, sick leave) on utilization of and quality of health care services, and/or health outcomes of persons with Type 2 diabetes.
  • Studies that evaluate the impact of changes on individual health care insurance coverage on access to and affordability of needed pharmacotherapy and self-glucose monitoring devices and supplies, utilization of and quality of health care services, timely evaluation by subspecialists, and other services.
  • Research on Type 2 diabetes health care coordination between traditional and alternative settings (e.g., pharmacies, fire stations, other community resources) and its impact on utilization of and quality of Type 2 diabetes (and coexisting chronic health conditions) health care services, and/or health outcomes.
  • Studies that address implicit/explicit bias, racism or discrimination across different levels in the Type 2 diabetes health outcomes/care continuum (e.g., researchers, clinicians, health care system personnel, health care system organization, patients), and propose and examine the impact of interventions on various outcomes including but not limited to enhancement of proactive Type 2 diabetes care, patient self-management, access and provision of timely, effective and indicated medical/pharmacological/surgical recommended guidelines of care, quality of care, reduction of diabetes short-term and long-term complications, and health and health care disparities.
  • Health economic sub-analyses [embedded into primary studies (e.g., interventions, retrospective analyses)] on the sustainability of the implementation of recommended guidelines of care of persons with Type 2 diabetes, including actual and/or projected health care costs of the full and effective implementation of diabetes care guidelines (and considering coexisting chronic health conditions); prevention of adverse events, hospitalizations and other complications; quality of life; access to and costs of medications and self-management supplies (e.g., insulin devices, self-blood glucose monitoring devices and other supplies); and availability of sub-specialty care health care within the context of health care payer policies on coverage of and payment for services, health care system protocols and processes, and payment models.
  • Studies on the multi-level effects of the COVID-19 pandemic and/or their intersection on access to diabetes health care services and continuity of care, for example patient level factors (e.g., loss of health insurance due to job loss; impact on self-management due to caregiving and homeschooling responsibilities), health care setting level factors (e.g., frequency and rescheduling of services), and societal factors. Costs/economic sub-analyses are of interest.
  • Studies that evaluate telehealth effectiveness on the continuity of diabetes care during public health emergencies (e.g., natural and human made disasters, pandemics -including COVID-19 and others), especially in terms of reducing diabetes health care and health disparities.
  • Studies that evaluate the impact of public health emergencies (e.g., natural and human made disasters, pandemics -including COVID-19 and others) on timely access to recommended health tests and services for persons with Type 2 diabetes, and ancillary care (e.g., dialysis, wound care, surgical care), including lessons learned and strategies that enhanced access and continuity of care.
  • Studies that evaluate existing Type 2 diabetes care interventions and practices in communities with health care disparities whose health care systems have been disrupted by one or more natural or human-made disasters.

Collaborating Institutes' Specific Areas of Interest:

National Eye Institute (NEI)

NEI is interested in research aimed at improving diabetes-related eye care in heath disparity populations. Specific topics of interest include but are not limited to the following research areas:

  • Screening, intervention, referral for treatment, treatment retention and relapse with a focus on prevention, early diagnosis, timely intervention to reduce the risk of vision loss from diabetic retinopathy and other related complications
  • Assessment of stigma and bias as they relate to health care quality in diabetic patients and the value of education and other interventions to reduce this impact
  • Dissemination and implementation of evidence-based strategies for the prevention and treatment of diabetes-related eye health issues
  • The relationship of environmental, social, biologic/genetic, psychosocial, economic, and other determinants of heath disparities to quality eye care in diabetic patients
  • Studies targeting implementation strategies to improve prevention and treatment of diabetes-related eye health problems in real world settings
  • Innovative strategies to enhance eye health care that include patient self-management, continuity of care, medical specialty referrals, telemedicine and electronic health care records, and other approaches in health care settings with limited resources

National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)

NIDDK is primarily interested in clinical trials aimed at prevention and treatment of type 2 diabetes, including diabetes-related complications in the mission of NIDDK such as metabolic liver disease, diabetic nephropathy and foot ulcers. Proposed observational studies should be limited to the evaluation of natural experiments that employ appropriate designs and methodologies necessary to strengthen casual inferences. Meaningful stakeholder engagement, particularly of hardly reached populations with health/ health care disparities, is strongly encouraged to inform the study design and conduct and to optimize potential uptake and sustainability. Specific topics include but are not limited to:

  • Interventions that test approaches in community and/or healthcare settings to increase screening for prediabetes/diabetes and uptake of programs aimed at prevention of type 2 diabetes for communities with health/health care disparities.
  • Interventions that target multigenerational outcomes, or non-traditional healthcare settings leveraging trusted sources of health information and venues for prevention and treatment in community settings for populations with health/health care disparities.
  • Interventions that leverage medical and social care integration to screen for and address patient’s comprehensive diabetes care needs, including community health worker or peer support models, and referral linkages to community resources with effective communication feedback loops to clinical care for populations with health/health care disparities.
  • Interventions that incorporate or test shared decision-making processes to improve equitable engagement of patients from marginalized communities, establish/monitor health goals, and improve diabetes outcomes.
  • Interventions focused on addressing diabetes distress or other mental health conditions to improve diabetes outcomes of populations and individuals with health/health care disparities, especially HbA1c, self-management, and engagement in clinical care recommendations.
  • Evaluation of natural experiments of large-scale policies or programs to treat type 2 diabetes and improve outcomes in family and community contexts among populations with health/health care disparities. Assessing policies or programs that extend the availability and reach of health services, eliminate health system or physician bias, and foster trust building are encouraged.

The NIH Office on Research in Women’s Health (ORWH)

ORWH is part of the Office of the Director of the NIH and works in partnership with the 27 NIH Institutes and Centers to ensure that women's health research is part of the scientific framework at the NIH and is supported in the larger scientific community. ORWH uses a multidimensional framework to represent the intersection of factors that underlie patterns of disease and determinants of health outcomes in populations. Biomedical research that considers sex and gender influences, alongside race, social class and other factors, will enhance understanding and inform disease self-management, clinician/patient-clinician shared decision making, and access to care to ensure health equity and achieve optimal health outcomes for all.

For purposes of this Funding Opportunity Announcement, ORWH is interested in providing support for innovative interdisciplinary, behavioral, clinical, and/or translational studies that contribute to diabetes treatment effectiveness, with a particular focus on populations of women who are understudied, underrepresented, and underreported in research.Examples include studies that seek to develop patient-centered care enhancements or create health promotion and health care intervention strategies. For additional guidance, please refer to the 2019-2023 Trans-NIH Strategic Plan for the Health of Women on the ORWH website (https://www.nih.gov/women/strategicplan).

The following types of projects are not considered priorities under this FOA.

  • Studies without a focus on one or more U.S. populations with health disparities
  • Research that is exclusively qualitative (though mixed quantitative and qualitative are acceptable)
  • Projects that test Type 2 diabetes interventions or health care models that are not multi-component (e.g., an intervention that consists entirely of patient navigation services)
  • Projects that test Type 2 diabetes interventions or health care models that are not multi-level (individual, interpersonal, institutional, community, and policy) or multi-component
  • Projects that prospectively test evidence-based interventions in understudied populations without modification to intervention content, delivery, or implementation
  • Projects which recruit persons with Type 2 diabetes but focus on other coexisting chronic conditions, and do not include Type 2 diabetes in the intervention
  • Sub-studies or sub-analyses on Type 2 diabetes health outcomes or health care from studies (e.g., interventions) designed for other health conditions
  • Projects that focus on other types of diabetes and not on Type 2 diabetes mellitus
  • Projects on animal models
  • Projects or collaborators outside of the United States and its territories
  • Observational studies focused on the study of prevalence and incidence of Type 2 diabetes or its complications are not responsive to this FOA.

Applicants are strongly encouraged to reach out to the relevant scientific contacts to discuss whether their applications meet the purpose and scientific goals of this FOA, and to assure that the correct PA number is identified in the applications.

See Section VIII. Other Information for award authorities and regulations.

Section II. Award Information

Funding Instrument

Grant: A support mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.

Application Types Allowed
New
Renewal
Resubmission

The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types. Only those application types listed here are allowed for this FOA.

Clinical Trial?

Optional: Accepting applications that either propose or do not propose clinical trial(s).

Need help determining whether you are doing a clinical trial?

Funds Available and Anticipated Number of Awards

The number of awards is contingent upon NIH appropriations and the submission of a sufficient number of meritorious applications.

Award Budget

Application budgets need to reflect the actual needs of the proposed project, and limited to the $500,000 on direct costs, per current budget cap.

Award Project Period

The scope of the proposed project should determine the project period. The maximum period is 5 years.

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

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 NIH 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)

Local 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)

Federal Governments

  • 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.

Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are not allowed. 

Required Registrations

Applicant organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

  • 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) – 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 to register in eRA Commons. Organizations can register with the eRA Commons as they are working through their SAM or Grants.gov registration, but all registrations must be in place by time of submission. 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.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account.  PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Eligible Individuals (Program Director/Principal Investigator)

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) 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 NIH support.

For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.

2. Cost Sharing

This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.

3. Additional Information on Eligibility

Number of Applications

Applicant organizations may submit more than one application, provided that each application is scientifically distinct.

The NIH will not accept duplicate or highly overlapping applications under review at the same time.  This means that the NIH will not accept:

  • A new (A0) application that is submitted before issuance of the summary statement from the review of an overlapping new (A0) or resubmission (A1) application.
  • A resubmission (A1) application that is submitted before issuance of the summary statement from the review of the previous new (A0) application.
  • An application that has substantial overlap with another application pending appeal of initial peer review (see NOT-OD-11-101).

Section IV. Application and Submission Information

1. Requesting an Application Package

The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this FOA. See your administrative office for instructions if you plan to use an institutional system-to-system solution.

2. Content and Form of Application Submission

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

Letter of Intent

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.

By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:

  • Descriptive title of proposed activity
  • Name(s), address(es), and telephone number(s) of the PD(s)/PI(s)
  • Names of other key personnel
  • Participating institution(s)
  • Number and title of this funding opportunity

The letter of intent should be sent to:

Larissa Aviles-Santa, MD, MPH
National Institute on Minority Health and Health Disparities (NIMHD)
Tel. 301-827-6924
Email: avilessantal@nih.gov

Page Limitations

All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed.

Instructions for Application Submission

The following section supplements the instructions found in the SF424 (R&R) Application Guide and should be used for preparing an application to this FOA.

SF424(R&R) Cover

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Project/Performance Site Locations

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Other Project Information

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Senior/Key Person Profile

All instructions in the SF424 (R&R) Application Guide must be followed.

R&R or Modular Budget

All instructions in the SF424 (R&R) Application Guide must be followed.

R&R Subaward Budget

All instructions in the SF424 (R&R) Application Guide must be followed.

PHS 398 Cover Page Supplement

All instructions in the SF424 (R&R) Application Guide must be followed.

PHS 398 Research Plan

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Resource Sharing Plan: Individuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R&R) Application Guide.

The following modifications also apply:

  • All applications, regardless of the amount of direct costs requested for any one year, should address a Data Sharing Plan.
Appendix:
Only limited Appendix materials are allowed. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.
PHS Human Subjects and Clinical Trials Information

When involving human subjects research, clinical research, and/or NIH-defined clinical trials (and when applicable, clinical trials research experience) follow all instructions for the PHS Human Subjects and Clinical Trials Information form in the SF424 (R&R) Application Guide, with the following additional instructions:

If you answered “Yes” to the question “Are Human Subjects Involved?” on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record.

Study Record: PHS Human Subjects and Clinical Trials Information

All instructions in the SF424 (R&R) Application Guide must be followed.

Delayed Onset Study

Note: Delayed onset does NOT apply to a study that can be described but will not start immediately (i.e., delayed start).All instructions in the SF424 (R&R) Application Guide must be followed.

PHS Assignment Request Form

All instructions in the SF424 (R&R) Application Guide must be followed.

3. Unique Entity Identifier and System for Award Management (SAM)

See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov.

4. Submission Dates and Times

Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. NIH and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time.  If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Policy on Late Application Submission.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

6. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement.

7. Other Submission Requirements and Information

Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide.  Paper applications will not be accepted.

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply – Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.

Important reminders:

All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH. See Section III of this FOA for information on registration requirements.

The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review, NIH. Applications that are incomplete or non-compliant will not be reviewed.

Post Submission Materials

Applicants are required to follow the instructions for post-submission materials, as described in the policy. Any instructions provided here are in addition to the instructions in the policy.

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process.  Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.

In addition, for applications involving clinical trials: A proposed Clinical Trial application may include study design, methods, and intervention that are not by themselves innovative but address important questions or unmet needs. Additionally, the results of the clinical trial may indicate that further clinical development of the intervention is unwarranted or lead to new avenues of scientific investigation.

Overall Impact

Reviewers will provide an overall impact score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following review criteria and additional review criteria (as applicable for the project proposed).

Scored Review Criteria

Reviewers will consider each of the review criteria below in the determination of scientific merit, and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.

Significance

Does the project address an important problem or a critical barrier to progress in the field? Is the prior research that serves as the key support for the proposed project rigorous? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?

In addition, for applications involving clinical trials

Are the scientific rationale and need for a clinical trial to test the proposed hypothesis or intervention well supported by preliminary data, clinical and/or preclinical studies, or information in the literature or knowledge of biological mechanisms? For trials focusing on clinical or public health endpoints, is this clinical trial necessary for testing the safety, efficacy or effectiveness of an intervention that could lead to a change in clinical practice, community behaviors or health care policy? For trials focusing on mechanistic, behavioral, physiological, biochemical, or other biomedical endpoints, is this trial needed to advance scientific understanding?

Investigator(s)

Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or those in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?

In addition, for applications involving clinical trials

With regard to the proposed leadership for the project, do the PD/PI(s) and key personnel have the expertise, experience, and ability to organize, manage and implement the proposed clinical trial and meet milestones and timelines? Do they have appropriate expertise in study coordination, data management and statistics? For a multicenter trial, is the organizational structure appropriate and does the application identify a core of potential center investigators and staffing for a coordinating center?

Innovation

Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?

In addition, for applications involving clinical trials

Does the design/research plan include innovative elements, as appropriate, that enhance its sensitivity, potential for information or potential to advance scientific knowledge or clinical practice?

Approach

Are the overall strategy, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Have the investigators included plans to address weaknesses in the rigor of prior research that serves as the key support for the proposed project? Have the investigators presented strategies to ensure a robust and unbiased approach, as appropriate for the work proposed? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed? Have the investigators presented adequate plans to address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects?

If the project involves human subjects and/or NIH-defined clinical research, are the plans to address 1) the protection of human subjects from research risks, and 2) inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion or exclusion of individuals of all ages (including children and older adults), justified in terms of the scientific goals and research strategy proposed?

In addition, for applications involving clinical trials

Does the application adequately address the following, if applicable

Study Design

Is the study design justified and appropriate to address primary and secondary outcome variable(s)/endpoints that will be clear, informative and relevant to the hypothesis being tested? Is the scientific rationale/premise of the study based on previously well-designed preclinical and/or clinical research? Given the methods used to assign participants and deliver interventions, is the study design adequately powered to answer the research question(s), test the proposed hypothesis/hypotheses, and provide interpretable results? Is the trial appropriately designed to conduct the research efficiently? Are the study populations (size, gender, age, demographic group), proposed intervention arms/dose, and duration of the trial, appropriate and well justified?

Are potential ethical issues adequately addressed? Is the process for obtaining informed consent or assent appropriate? Is the eligible population available? Are the plans for recruitment outreach, enrollment, retention, handling dropouts, missed visits, and losses to follow-up appropriate to ensure robust data collection? Are the planned recruitment timelines feasible and is the plan to monitor accrual adequate? Has the need for randomization (or not), masking (if appropriate), controls, and inclusion/exclusion criteria been addressed? Are differences addressed, if applicable, in the intervention effect due to sex/gender and race/ethnicity?

Are the plans to standardize, assure quality of, and monitor adherence to, the trial protocol and data collection or distribution guidelines appropriate? Is there a plan to obtain required study agent(s)? Does the application propose to use existing available resources, as applicable?

Data Management and Statistical Analysis

Are planned analyses and statistical approach appropriate for the proposed study design and methods used to assign participants and deliver interventions? Are the procedures for data management and quality control of data adequate at clinical site(s) or at center laboratories, as applicable? Have the methods for standardization of procedures for data management to assess the effect of the intervention and quality control been addressed? Is there a plan to complete data analysis within the proposed period of the award?

Environment

Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?

In addition, for applications involving clinical trials

If proposed, are the administrative, data coordinating, enrollment and laboratory/testing centers, appropriate for the trial proposed?

Does the application adequately address the capability and ability to conduct the trial at the proposed site(s) or centers? Are the plans to add or drop enrollment centers, as needed, appropriate?

If international site(s) is/are proposed, does the application adequately address the complexity of executing the clinical trial?

If multi-sites/centers, is there evidence of the ability of the individual site or center to: (1) enroll the proposed numbers; (2) adhere to the protocol; (3) collect and transmit data in an accurate and timely fashion; and, (4) operate within the proposed organizational structure?

Additional Review Criteria

As applicable for the project proposed, reviewers will evaluate the following additional items while determining scientific and technical merit, and in providing an overall impact score, but will not give separate scores for these items.

Study Timeline

Specific to applications involving clinical trials
Is the study timeline described in detail, taking into account start-up activities, the anticipated rate of enrollment, and planned follow-up assessment? Is the projected timeline feasible and well justified? Does the project incorporate efficiencies and utilize existing resources (e.g., CTSAs, practice-based research networks, electronic medical records, administrative database, or patient registries) to increase the efficiency of participant enrollment and data collection, as appropriate?

Are potential challenges and corresponding solutions discussed (e.g., strategies that can be implemented in the event of enrollment shortfalls)?

Protections for Human Subjects

For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.

Inclusion of Women, Minorities, and Individuals Across the Lifespan

When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.

Vertebrate Animals

The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following criteria: (1) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.

Biohazards

Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

Resubmissions

For Resubmissions, 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.

Renewals

For Renewals, the committee will consider the progress made in the last funding period.

Revisions

Not Applicable

Additional Review Considerations

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

Applications from Foreign Organizations

Not Applicable

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 that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

Resource Sharing Plans

Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: (1) Data Sharing Plan; (2) Sharing Model Organisms; and (3)  Genomic Data Sharing Plan (GDS).

Authentication of Key Biological and/or Chemical Resources:

For projects involving key biological and/or chemical resources, reviewers will comment on the brief plans proposed for identifying and ensuring the validity of those resources.

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 research.

2. Review and Selection Process

Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by Center for Scientific Review, in accordance with NIH peer review policy and procedures, using the stated review criteria. Assignment to a Scientific Review Group will be shown in the eRA Commons.

As part of the scientific peer review, all applications will receive a written critique.

Applications may undergo a selection process in which only those applications deemed to have the highest scientific and technical merit (generally the top half of applications under review) will be discussed and assigned an overall impact score.

Applications will be assigned on the basis of established PHS referral guidelines to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications submitted in response to this FOA. Following initial peer review, recommended applications will receive a second level of review by the appropriate national Advisory Council or Board. The following will be considered in making funding decisions:
  • Scientific and technical merit of the proposed project as determined by scientific peer review.
  • Availability of funds.
  • Relevance of the proposed project to program priorities.

3. Anticipated Announcement and Award Dates

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons. Refer to Part 1 for dates for peer review, advisory council review, and earliest start date.

Information regarding the disposition of applications is available in the NIH Grants Policy Statement.

Section VI. Award Administration Information

1. Award Notices

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant as described in the NIH Grants Policy Statement.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the recipient's business official.

Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.

Any application awarded in response to this FOA will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website.  This includes any recent legislation and policy applicable to awards that is highlighted on this website.

Individual awards are based on the application submitted to, and as approved by, the NIH and are subject to the IC-specific terms and conditions identified in the NoA.

ClinicalTrials.gov: If an award provides for one or more clinical trials. By law (Title VIII, Section 801 of Public Law 110-85), the "responsible party" must register and submit results information for certain “applicable clinical trials” on the ClinicalTrials.gov Protocol Registration and Results System Information Website (https://register.clinicaltrials.gov). NIH expects registration and results reporting of all trials whether required under the law or not. For more information, see https://grants.nih.gov/policy/clinical-trials/reporting/index.htm

Institutional Review Board or Independent Ethics Committee Approval: Recipient institutions must ensure that all protocols are reviewed by their IRB or IEC. To help ensure the safety of participants enrolled in NIH-funded studies, the awardee must provide NIH copies of documents related to all major changes in the status of ongoing protocols.

Data and Safety Monitoring Requirements: The NIH policy for data and safety monitoring requires oversight and monitoring of all NIH-conducted or -supported human biomedical and behavioral intervention studies (clinical trials) to ensure the safety of participants and the validity and integrity of the data. Further information concerning these requirements is found at http://grants.nih.gov/grants/policy/hs/data_safety.htm and in the application instructions (SF424 (R&R) and PHS 398).

Investigational New Drug or Investigational Device Exemption Requirements: Consistent with federal regulations, clinical research projects involving the use of investigational therapeutics, vaccines, or other medical interventions (including licensed products and devices for a purpose other than that for which they were licensed) in humans under a research protocol must be performed under a Food and Drug Administration (FDA) investigational new drug (IND) or investigational device exemption (IDE).

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Recipients, and Activities. More information is provided at Award Conditions and Information for NIH Grants.

Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, disability, age and, in some circumstances, religion, conscience, and sex. This includes ensuring programs are accessible to persons with limited English proficiency. The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-rights/for-providers/provider-obligations/index.html and http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html.

HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research. For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this FOA.

Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697.

In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a Federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 “Federal awarding agency review of risk posed by applicants.” This provision will apply to all NIH grants and cooperative agreements except fellowships.

Cooperative Agreement Terms and Conditions of Award

Not Applicable

3. Reporting

When multiple years are involved, awardees will be required to submit the Research Performance Progress Report (RPPR) annually and financial statements as required in the NIH Grants Policy Statement.

A final RPPR, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the NIH Grants Policy Statement.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later.  All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000.  See the NIH Grants Policy Statement for additional information on this reporting requirement.

In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period.  The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS).  This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313).  As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available.  Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 – Award Term and Conditions for Recipient Integrity and Performance Matters.

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

Application Submission Contacts

eRA Service Desk (Questions regarding ASSIST, eRA Commons, application errors and warnings, documenting system problems that threaten submission by the due date, and post-submission issues)

Finding Help Online: http://grants.nih.gov/support/ (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources)
Email: GrantsInfo@nih.gov (preferred method of contact)
Telephone: 301-945-7573

Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace)
Contact Center Telephone: 800-518-4726
Email: support@grants.gov

Scientific/Research Contact(s)

Larissa Aviles-Santa, MD, MPH
National Institute on Minority Health and Health Disparities (NIMHD)
Telephone: 301-827-6924
Email: avilessantal@mail.nih.gov

Grace L Shen
National Eye Institute (NEI)
Phone: 301-451-2020
E-mail: ShenG@nei.nih.gov

Mary E. Evans, Ph.D.
Division of Digestive Diseases and Nutrition (DDN)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK) 
Telephone: 301-594-4578
E-mail: evansmary@niddk.nih.gov
 

Jean M. Lawrence, Sc.D., M.P.H., M.S.S.A.
Division of Diabetes, Endocrinology and Metabolic Diseases (DEM)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Phone: 301-435-6243
E-mail: jean.lawrence@nih.gov 

Afshin Parsa, M.D., M.P.H.
Division of Kidney, Urologic and Hematologic Diseases (KUH)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Phone: (301) 827-1375
E-mail: afshin.parsa@nih.gov

Damiya Eve Whitaker
Office Of Research On Women's Health (ORWH)
Phone: 240-276-6170
E-mail: damiya.whitaker@nih.gov

Peer Review Contact(s)

Examine your eRA Commons account for review assignment and contact information (information appears two weeks after the submission due date).

Financial/Grants Management Contact(s)

Priscilla Grant, JD
National Institute on Minority Health and Health Disparities (NIMHD)
Telephone: 301-594-8412
Email: grantp@mail.nih.gov

Karen Robinson Smith
National Eye Institute (NEI)
Phone: (301) 451-2020
E-mail: Karen.Robinson.Smith@nei.nih.gov

Todd Le
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Telephone: 301 594-7794
Email: ToddLe@mail.nih.gov

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Authority and Regulations

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Part 75.


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