Department of Health and Human Services
Part 1. Overview Information

 

Participating Organization(s)

National Institutes of Health (NIH)

Components of Participating Organizations

National Institute of Neurological Disorders and Stroke (NINDS)

Funding Opportunity Title

Neurosurgeon Research Career Development Program (NRCDP) (K12)

Activity Code

K12 Physician Scientist Award (Program) (PSA)

Announcement Type

Reissue of  RFA-NS-12-008

Related Notices

None

Funding Opportunity Announcement (FOA) Number

RFA-NS-17-010

Companion Funding Opportunity

None

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

93.853  

Funding Opportunity Purpose

The purpose of this funding opportunity announcement (FOA) is to invite applications to continue support of a national program of mentored research career development for junior neurosurgeon faculty at institutions nationwide that support neurosurgical research. The goal of the program is to expand the cadre of neurosurgeon investigators trained to conduct research into neurological disorders, making use of their neurosurgical training.

Key Dates

 

Posted Date

March 30, 2017

Open Date (Earliest Submission Date)

April 30, 2017

Letter of Intent Due Date(s)

Not Applicable

Application Due Date(s)

May 30, 2017, by 5:00 PM local time of applicant organization. All types of  applications allowed for this funding opportunity announcement are due on this date.

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.

AIDS Application Due Date(s)

Not Applicable

Scientific Merit Review

July 2017

Advisory Council Review

October 2017

Earliest Start Date

November 2017

Expiration Date

May 31, 2017

Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the Training Instructions for the SF424 (R&R) Application Guide, 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.


There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners.

  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. Go to Grants.gov to download an application package to complete the application forms offline or create a Workspace to complete the forms online; submit your application to Grants.gov; and track your application in eRA Commons.
Learn more about the various submission options.

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 overall goal of the NIH Research Career Development programs is to help ensure that a diverse pool of highly trained scientists is available in appropriate scientific disciplines to address the Nation’s biomedical, behavioral, and clinical needs.  More information about Career programs may be found at the NIH Extramural Training Mechanisms website.

Purpose

The purpose of this funding opportunity announcement (FOA) is to invite applications for a Neurosurgeon Research Career Development Program (NRCDP). The NRCDP will support a national effort for mentored career development and training of junior neurosurgeon faculty at institutions nationwide that support neurosurgical research. The goal of this program is to increase the cadre of neurosurgeon investigators trained to conduct research into neurological disorders, making use of their neurosurgical training. This research career development program should promote high quality, novel, creative research and innovative investigation by this cohort of individuals who possess unique clinical and research skills. As a result of training in this program, highly skilled neurosurgeons should be prepared to develop a successful, independent, well-funded research program, which they will combine with their clinical neurosurgery career to advance the understanding and treatment of neurological disorders. This FOA will fund the administration and infrastructure of one NRCDP for up to 5 years. It uses the K12 Career Development mechanism, to be overseen by a PD/PI and a national cohort of renowned basic and clinical investigators, to support the career development of neurosurgeon-researchers at institutions around the country.

The involvement of neurosurgeons in cutting edge scientific research is critical, due to their unique ability to conduct human research with neurosurgical techniques. Moreover, neurosurgeons have a unique perspective on neurological disorders based on their clinical experience in neurosurgery. Research into, for example, hydrocephalus, cerebrovascular disease, traumatic brain injury, spinal cord injury, brain tumors, stroke and many other neurological disorders, can benefit greatly from the involvement of neurosurgeons. However, the cohort of neurosurgeons conducting NIH-funded research is small, due to several obstacles. Among the most important obstacles is the ability to devote the time necessary for research career development to become a successful research scientist. Neurosurgery residencies are long and involve a heavy clinical load, which can preclude the ability to obtain individual support from NIH career development awards during residency. When neurosurgeons subsequently obtain a first faculty position at an institution different from their residency institution, clinical duties often prevent them from obtaining the protected time required to get a mentored research project to a stage where they can successfully compete for individual research funding. The goals of the NRCDP program are to provide support for a prolonged period of mentored research and career development following residency, to provide a venue for networking, collaboration and support of junior neurosurgeon researchers, and to facilitate the transition of neurosurgeons from mentored to independent research positions. Neurosurgeons in their last year of residency, in a fellowship year, or in their first year of an independent faculty position, can apply to the NRCDP program for support, which is intended to start during their first faculty year following residency. The program will primarily support neurosurgeons who leave their residency institution for a faculty position at another institution, but may support up to one neurosurgeon per year who obtains a faculty position at his/her residency institution. The NRCDP will provide the selected neurosurgeons with the experience, research support, and protected time for research and funding necessary to initiate a vigorous, sustainable research program. In addition, the NRCDP will create a support and mentoring network whereby scholars will have the opportunity to interact with both junior and senior neurosurgeon researchers.

The NRCDP Program

The NRCDP K12 award provides five years of funding to the applicant organization to support a national research career development program. Although this K12 award is housed at the PD/PI's institution, it is not intended to support scholars solely at that institution. The PD/PI will recruit applications from eligible candidates at institutions from across the country, and selected scholars will proceed with their career development and research plan at their home institution, with a local mentor. The institution that houses this K12 is just one of these institutions at which research career development activities can occur. The leadership of the NRCDP consists of the PD/PI and a committee of advisors (the National Advisory Committee, or NAC) selected by the PD/PI to help guide the program. The PD/PI may also choose to appoint program co-directors to help accomplish the goals of the program. The PD/PI, together with the NAC and if applicable, co-directors, will define the application process, advise potential applicants and provide feedback on their applications, review candidates, make appointments to qualified individuals, monitor progress of each scholar, and ensure that program policies and requirements are followed.

Annual NRCDP Meeting

The PD/PI(s) will organize an annual meeting for scholars, the advisory committee, and appropriate faculty. The purpose of this meeting, in addition to serving as the venue for candidate interviews and selection, is to provide a forum for mentoring, evaluation of scholar progress, career development activities, development of scientific networks among scholars and other researchers and may serve other related purposes, at the PD/PI's discretion. This meeting should also include junior neurosurgeon researchers not affiliated with the NRCDP program, in order to broaden the scope of career development and networking within the neurosurgical research community.

Preceptors/Mentors

Although the identity of future mentors will not be known at the time of application, the mentors of successful scholar applicants to the NRCDP should fulfill some general requirements. Primary mentors must be tenure-track faculty (or equivalent) who have an established record of research productivity, competitive grant support and successful training of clinician scientists. A primary mentor should have a strong research program in an area relevant to the NINDS mission. Mentors should have research expertise and experience relevant to the proposed program, and must be committed to continuing their involvement throughout the total period of the mentee’s participation in this award. The primary mentor need not be a neurosurgeon. However, in such cases, all scholars should have a secondary mentor who is an accomplished neurosurgeon-researcher. Members of the NAC may serve as secondary mentors to scholars, where an appropriate, local neurosurgeon-scientist is not available.

Linkages of scholars to other departments, potentially through choice of mentors, should be encouraged, as they enhance career development and facilitate collaborative efforts. It is particularly encouraged that scholars develop interactions with neurologists and other non-neurosurgeons, as this can foster multidisciplinary research and the development of novel ideas and approaches. Although mentors must demonstrate a commitment to the NRCDC program and scholars, they cannot receive salary, fringe benefits or research support for this role on the K12 grant.

Candidates are encouraged to include researchers from diverse backgrounds, including racial and ethnic minorities, persons with disabilities, and women as mentors, as this can provide a diverse perspective on their research approach and scientific thinking.

Program Scholars

Scholars funded by the NRCDP K12 must be conducting research that falls within the NINDS mission.  All types of research, including basic, clinical and translational, are equally appropriate, but regardless of research type, it should be disease-relevant and potentially applicable to clinical practice. It is expected that this research will integrate with their clinical activities and that their clinical and research activities will inform each other. The program should strive to support individuals whose research might have a significant impact on patients with neurological disorders.

As part of the recruitment effort, the NRCDP program should make every effort to broadly advertise the program. The program must actively seek out qualified women and individuals from diverse backgrounds. The candidate selection process should include a written application and interviews by the PD/PI and members of the NAC.

The NRCDP K12 is intended to fund two to three new scholars per year. For each scholar, a five year career development program consists of two phases.

Phase I

In Phase I, the scholar receives up to two years of financial support directly from the K12 award (a third year is possible in unusual circumstances, at the discretion of the PD/PI and the NAC). During this phase, the scholar will embark on a focused career development program that will include research, skills development and any necessary education, under the auspices of a mentor who has an outstanding record of research productivity and training. In conjunction with the mentor, the scholar will develop a research and career development plan suitable to launch an independent research career to investigate a clinically significant research topic. This plan, and scholar progress, will be reviewed annually by the NRCDP PD/PI and NAC.  Provided they make appropriate progress during the first year, as judged by the PD/PI and NAC, scholars are renewed for a second year of NRCDP support.

During each year of Phase I, in addition to conducting research and pursuing their research career development at their home institution, scholars will submit an annual progress report to the NRCDP PD/PI, will attend the NRCDP annual meeting, and will present their research in a public forum at the meeting. Scholars may engage in brief research activities at another institution if they are directly related to the purpose of the award. For research activities lasting longer than one month, scholars must obtain prior written approval from the K12 PD/PI. In addition, periods of leave from the program for greater than three months, for either professional or personal reasons, require prior written approval from the K12 PD/PI and the NINDS program official.

Phase II

In Phase II, the scholar begins to transition to independence. The scholar is highly encouraged to remain associated with the NRCDP program, but must obtain funds from sources other than the K12. As such, scholar selection should consider the likelihood that the candidate will be competitive for individual funding by the third year of the program.  It is intended that the scholar will secure funds from an individual, mentored career development award, such as an NIH K08, K23 or equivalent. However, some scholars may be ready to obtain a large independent research grant, such as an NIH R01 or equivalent, or an independent career development award such as an NINDS K02. Scholars should generally apply for individual awards during Phase I, so that funding may be in place for the third year of the program. It is important that the scholar's research and career development plan be tailored to ensure that the candidate will be in a position to submit a competitive individual award by the end of the second year of the program. To this end, it is important that the scholar receive strong guidance and support from the mentor, the NRCDP PD/PI, the NAC and the Chair of the scholar's department, to provide the best possible opportunity for success.

Phase II scholars are highly encouraged to remain associated with the NRCDP program for an additional 3 years (up to a maximum of 5 years). Scholars are encouraged to provide progress updates to the NRCDP PD/PI, present their research findings at NRCDP meetings during each year of the phase II period. This attendance at NRCDP meetings during phase II will help them with their own careers, will serve to facilitate their role as mentors to those who come behind them, and will serve to strengthen the network of neurosurgeon researchers, made up of K12 awardees, NINDS R25 participants, other neurosurgeons in the career development phase of their careers, and more established faculty.

The NRCDP program is intended to support only candidates who will make a commitment to 6 person-months (50% full-time professional effort) per year to research for at least the 5 year period that covers phases I and II. In the event that the candidate is making good progress during Phase I, makes appropriate efforts to obtain individual funding for the start of Phase II, but fails to do so by the start of the third year of the program, an ability to continue to devote 50% effort to research is critical to the scholar’s continued progress towards success. Thus, it is anticipated that the Chair of the scholar’s home department will continue to provide 50% protected time to the scholar during the entire Phase II period, when appropriate. Because protected time for research is critical for a candidate’s success, the NRCDP is strongly encouraged to request a description of the home department’s commitment to the candidate’s research effort in the candidate’s application to the program. The NRCDP is generally not intended to provide financial support during the third year of the scholar's program. However, limited financial help during the third year may be provided in exceptional cases, at the discretion of the PD/PI, in consultation with the NAC.

For the first two new applicants supported each year, support from this program may be used only for individuals who move to a new institution following their residency. If more than two applicants are supported in a given year, these additional candidates may be selected from neurosurgeons who remain in a faculty position at their residency institution. In addition, all neurosurgeons, regardless of institution or career stage, may be invited to participate in the NRCDP meeting, even when not funded as a K12 scholar by the NRCDP program.

Institutional Environment and Commitment to the Program

The Chair of the scholar's home department plays a critical role in the success of the NRCDP. The program is designed to directly support relatively few scholars, with the goal that all of those supported will go on to successful, dual careers as clinical neurosurgeons and productive, well-funded researchers. In order to launch such a career, scholars need a period of outstanding training and mentoring as well as adequate protected time to successfully conduct high quality research and obtain independent funding. Consequently, for a successful application to the NRCDP program, Chairs must commit to allowing the scholar to spend a minimum of 50% of full time professional effort on research activities for the NRCDP support period. Moreover, if an NRCDP scholar is making appropriate progress towards developing a research program, it is anticipated that Chairs will continue to provide 50% protected time for research for the entire 5 year NRCDP period. In addition, Chairs should make every effort to provide appropriate resources and support, in whatever form needed, to ensure success of the scholar.

It should be anticipated that the NRCDP program will make at least one site visit to each scholar's home department to discuss with the scholar, mentor(s), Chair and others involved in the scholar's activities, the scholar's progress, needs and any other relevant issues.

Special Note: The PD/PI is strongly encouraged to work closely with the designated NINDS staff to maximize the success of the program in achieving the goals of this FOA. Potential applicants should contact the NINDS Director of Training, Career Development and Workforce Diversity with any questions about this program, program planning or application for this award.

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

The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types.

Funds Available and Anticipated Number of Awards

NINDS intends to commit approximately $1,000,000 in FY 2017 to fund 1 award.

Award Budget

Application budget must reflect the actual needs of the proposed project.

Award Project Period

The project period is 5 years

Other Award Budget Information

 

Personnel Costs
 

The PD/PI may request salary for up to 1.2 person-months (10%) effort and fringe benefits.

This award will provide support for up to 2.4 person-months (20%) effort for an administrative assistant to the PD/PI for work directly performed for the NRCDP program. Funds may also be requested for honoraria for Advisory Committee Members.

Note: Program-related administrative and clerical salary costs associated distinctly with the program that are not normally provided by the applicant organization as F&A costs may be direct charges to the grant only when they are in accordance with applicable cost principles.  For institutions covered 45 CFR 75.413(c), this type of career development program may qualify as a “major project” where administrative salaries are allowable as a direct cost.  When specifically identified and justified, these expenses must be itemized in Sections A and B, as appropriate, of the R&R Budget.   

Participant Costs
 

Scholars are those individuals who benefit from the proposed activities and experiences involved in the career development program. It is intended that two to three new scholars per year will be funded by this program. Funds may be used to support scholar salary and fringe benefits. This support should be consistent with NINDS support provided by individual mentored K awards. Scholar costs must be justified as specifically required for the proposed career development program, and must be itemized in the proposed budget.

Other Program Related Expenses
 

This award will provide support for research and career development expenses, and support for scholars to attend scientific meetings deemed appropriate for their research career development. It is also anticipated that funds will be used to support travel of scholars to an annual meeting organized by the PD/PI for participants in the NRCDP program. Expenses, such as staff salaries, consultant costs, equipment, research supplies, and travel directly related to the research career development program are allowed. The amount of these funds should be consistent with support provided by NINDS for individual mentored K awards, but may be adjusted, at the discretion of the PD/PI. Funds may also be used for an annual meeting of scholars, NAC members and appropriate faculty, and may be used for honoraria for NAC members and co-directors. Funds may also be used to support site visits at scholar institutions by the PD/PI, co-directors or NAC members. Funding of mentor salary is not allowed.

Indirect Costs

Indirect Costs (also known as Facilities & Administrative [F&A] Costs) are reimbursed at 8% of modified total direct costs (exclusive of tuition and fees, consortium costs in excess of $25,000, and expenditures for equipment), rather than on the basis of a negotiated rate agreement.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to 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)

Governments

  • Indian/Native American Tribal Governments (Federally Recognized)
  • Indian/Native American Tribal Governments (Other than Federally Recognized)
  • U.S. Territory or Possession

Other

  • Native American Tribal Organizations (other than Federally recognized tribal governments)
  • Faith-based or Community-based Organizations

Eligible institutions must be affiliated with a medical school with a neurosurgery department that supports both clinical and funded research activities.   

The sponsoring institution must assure support for the proposed program. Appropriate institutional commitment to the program includes the provision of adequate staff, facilities, and educational resources that can contribute to the planned program.

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) (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.
  • NATO Commercial and Government Entity (NCAGE) Code – Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM. 
  • 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.

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 training program as the Training Program Director/Principal Investigator (Training PD/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 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 SF 424 (R&R) Application Guide.

The PD/PI of the NRCDP should possess the scientific expertise, demonstrated leadership capabilities, stature and administrative capabilities required to implement, coordinate and supervise a national, multidisciplinary research career development program for neurosurgeons. The PD/PI, together with the NA and, if applicable, co-directors, will be responsible for the selection and appointment of scholars to the NRCDP, and for the overall direction, management, administration, and evaluation of the program. The PD/PI will be expected to monitor and assess the program and submit all documents and reports as required. The PD/PI has responsibility for the day to day administration of the program and is responsible for appointing members of the NAC and using their recommendations to determine the appropriate allotment of funds.  Any appointed co-directors should also have the qualifications necessary to guide an institutional training program designed for neurosurgeons.

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

Only one application per institution is allowed.

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).
 NRCDP Advisory Committee:

The NAC, chaired by the PD/PI, is a select group of scientists who, predominantly, have established records of research and research training of clinician-scientists. The committee should be composed of approximately 12 members. This committee must be diverse in nature, with respect to scientific interests, geographic location and prior training affiliations. The NAC should also have appropriate representation of women and underrepresented minorities. Whereas it is appropriate that most members of the NAC be neurosurgeon-researchers, the inclusion of leading physician-scientists from other disciplines (e.g. neurology) and nationally renowned PhD scientists with an established record of successful training, is desirable. The PD/PI may also wish to include one member of the NAC who is an outstanding, albeit more junior neurosurgeon-scientist (i.e. an individual who has nearly completed an individual career development award or who has recently received their first R01). The NAC evaluates all applicants to the program (this will include the evaluation of written applications and conducting interviews at the NRCDP meeting), monitors progress of current scholars and provides feedback to individuals as appropriate. NAC members may be asked to perform site visits at scholar institutions, and all except the "junior neurosurgeon scientist" should have the appropriate stature within the community to discuss program principles and policies with scholars, mentors and chairs. NAC members are expected to attend and participate in all annual meetings of the NRCDP program. The duration of service of individual NAC members to the NRCDP program will be negotiated between individual members and the PD/PI, and should generally be a minimum of 3 years. NAC members may be primary mentors or secondary mentors, but must avoid any conflict-of-interest in the scholar selection process.

Scholars

Scholars to be supported by the institutional career development program must be at the career level for which the planned program is intended. Scholars must devote a minimum of 6 person-months (50% of full-time professional effort) to their K12 research and research career development during the appointment on the K12 award.

Scholars to be supported by the NRCDP must be clinically practicing neurosurgeons. Eligible candidates for initial application to the program include those in the last year of residency training, fellowship training, and those who are within one year of starting their faculty position. It is intended that scholar support from this program will begin during the first year of a faculty appointment.

An individual who has served as a PD/PI on an NIH research grant (R01, R03, R21, P01, etc.), an individual career development award (K01, K02, K08, K23, K99, etc.), other non-training NIH grant (e.g. U-type or P-type grant, etc.), a subproject of a program project (P01) or contract (N01) may not be considered for support by the NRCDP.


Scholars must be citizens or noncitizen nationals of the United States or have been lawfully admitted for permanent residence at the time of appointment. Additional details on citizenship requirements are available in the NIH Grants Policy Statement.

Section IV. Application and Submission Information
1. Requesting an Application Package

Buttons to access the online ASSIST system or to download application forms 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 Training Instructions for the SF424 (R&R) Application Guide including Supplemental Grant Application Instructions 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.

For information on Application Submission and Receipt, visit Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.

Page Limitations

All page limitations described in the SF424 (R&R) 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

Follow all instructions provided in the SF424 (R&R) Application Guide. 

SF424(R&R) Project/Performance Site Locations

Follow all instructions provided in the SF424 (R&R) Application.

SF424 (R&R) Other Project Information

Follow all instructions provided in the SF424 (R&R) Application, with the following additional modifications:

Substitute the term “scholars” for all references to “trainees” in the SF424 (R&R) Application Guide, and substitute the term “career development” for all references to “training” in the SF424 (R&R) Application Guide.

Project Summary/Abstract. Provide an abstract of the entire application. Include the objectives, rationale and design of the research career development program, as well as key activities in the training plan. Indicate the planned duration of appointments, the projected number of scholars including their levels (i.e., , ,  post-residency, 1st year faculty), and intended scholar outcomes.

Other Attachments.

The proposed NAC members should be selected in advance and listed in the application, as the appropriateness of the committee will be evaluated by the peer review process.

The composition, including name, expertise, affiliation and prior training affiliations (e.g. residency institution), as well as their roles and responsibilities, and other relevant information, should be included. Describe how the NAC will function in providing oversight of the development, implementation, and evaluation of recruitment strategies, the recruitment, selection and retention of candidates, and the evaluation of the overall effectiveness of the program. If any members of the NAC are to have special roles (e.g. serve as part of an executive committee or as co-directors), this should be explained. A biosketch for each NAC member should be included in the application.

Please name your file “Advisory_Committee.pdf”.

The filename provided for each “Other Attachment” will be the name used for the bookmark in the electronic application in eRA Commons.

SF424(R&R) Senior/Key Person Profile Expanded

Follow all instructions provided in the SF424 (R&R) Application.

PHS 398 Cover Page Supplement

Follow all instructions provided in the SF424 (R&R) Application.

PHS 398 Training Subaward Budget Attachment(s)

Follow all instructions provided in the SF424 (R&R) Application Guide

Research and Related (R&R) Budget

Follow all instructions provided in the SF424 (R&R) Application Guide with the following additional modifications:

  • Include all personnel other than the Training PD(s)/PI(s) in the Other Personnel section, including clerical and administrative staff. Also include proposed salary costs for planned scholars.
  • Do not complete the section on Participant/Trainee Support Costs.
PHS 398 Research Training Program Plan

The PHS 398 Research Training Program Plan Form is comprised of the following sections:

  • Training Program
  • Faculty, Trainees, and Training Record
  • Other Training Program Sections
  • Appendix

Follow all instructions provided in the SF424 (R&R) Application Guide with the following additional modifications: The Data Tables are not required for this K12.

Substitute the term “scholars” for all references to “trainees” in the SF424 (R&R) Application Guide, and substitute the term “career development” for all references to “training” in the SF424 (R&R) Application Guide.

Training Program

Program Plan

Program Administration:

Institutions with existing programs must explain what distinguishes this program from the others, how their programs will synergize with one another, if applicable, and make it clear that the pool of faculty, potential scholars, and resources are robust enough to support additional programs. When a program administrator position is planned, a description of the scientific expertise, leadership, and administrative capabilities essential to coordinate a program for developing investigators must be included in the application.

Describe the strengths, leadership and administrative skills, scientific expertise and training experience of the NRCDP PD/PI. Particular attention should be paid to the qualifications of the PD/PI to lead and oversee this national training program, and include discussion of leadership activities at a national level. Include a discussion of active research and the planned strategy and administrative structure to be used to oversee and monitor the program.

If the NRCDP program will have co-directors, these individuals should be identified, and their roles, and qualifications to carry out these roles, discussed. All proposed participating individuals, including co-directors and NAC members, should provide a letter documenting their willingness to serve in their proposed capacity. The letters should be included in the “Letters of Support” section.

The applicant should describe the rationale for selection of the NAC members, both individually and collectively.

Program Faculty:

Describe the expertise and experience expected of mentors. Because the identity of individual mentors cannot be known in advance, describe the plan for ensuring proper, successful mentorship of scholars.  If applicable, describe the plan for mentorship beyond the scholar’s local mentors.

Proposed Training

Describe the immediate and long-term objectives of the program, and describe training and/or career development activities that will be used by the national K12 to ensure that the objectives of the program are met. Include information about planned activities that will be incorporated into the overall NRCDP program, and what activities will be expected of the local institution.  Describe how the NRCDP will provide scholars with both oral and written presentation skills, including instruction in grant writing, which will allow them to apply successfully for future career development and research support.  Describe how, as a national program, the NRCDP will ensure that all scholars receive thorough training in experimental rigor with respect to experimental design, statistical methodology and data analysis and interpretation.  Describe any other instruction the scholars are expected to receive, such as in laboratory, project and time-management skills, and how this will be achieved under the auspices of the NRCDP.  Renewal applications should describe past research career development activities, and describe planned changes to enhance the opportunity for scholar success.

Describe plans for the NRCDP program to make least one site visit to each scholar's home department to discuss the scholar’s progress, needs and any other relevant issues with the scholar, mentor(s), Chair and others involved in the scholar's activities (i.e. who will do the site visit, how will it be organized, when will it occur, etc.).

Scholar Candidates

A renewal K12 application must describe the activities in the previous funding period designed to recruit scholar applications to the NRCDP and to disseminate publicity intended to attract applications from outstanding candidates in diverse research areas from institutions around the country. The application should also describe efforts to recruit women and underrepresented individuals to the K12 program. The application should describe the perceived success of these efforts, any perceived limitations of these efforts, and any changes or enhancements that are planned based on prior experience.

New K12 applications must describe the approach to recruitment of outstanding scholar applicants to the program, with an explanation of how it will address the issues in the above paragraph.

Define the process by which candidates will apply to the program. Describe how the program will select and appoint scholars who would most benefit from this program, and who hold strong promise of a successful, combined research and clinical career. The application should include a description of how the NRCDP will inform scholars, mentors and Chairs of their responsibilities, a plan for monitoring scholar progress, and a mechanism to ensure both progress and compliance with program policies. 

Institutional Environment and Commitment to the Program

The sponsoring institution must assure support for the proposed program including assurance that sufficient time will be allowed for the PDs/PIs and other Program Faculty to contribute to the proposed program, and that there will be protected time for scholars (9 person months, equivalent to 75%) selected for the program

The application should also describe plans for monitoring and ensuring appropriate commitments of the scholar's institution to the scholar, including appropriate research support, protected time for research, and opportunities for advancement given a combined research and clinical career.

Progress Report

Renewal applications should describe how the NRDCP program has evolved in response to changes in relevant scientific and technical knowledge, educational practices, and to evaluation of the program. In addition, provide a detailed description of all previous scholars supported, including their institution, clinical specialty, research specialty, publications and other funding obtained since the start of their NRCDP support and any other relevant achievements. Also, describe the yearly selection process, including the number of applicants, applicant demographics, any perceived deficits in the applicant pool and, if deficits were perceived, the plans to remedy them.

Renewal applications should describe the annual meetings held to date, with a detailed description of activities and goals. The application should describe how the meeting has evolved, what activities have been shown to be effective or ineffective, the perceived value of different aspects of the annual meeting and any changes or enhancements that are planned based on prior experiences.

Plan for Instruction in the Responsible Conduct of Research

Individuals are required to comply with the instructions for Plan for Instruction in the Responsible Conduct of Research as provided in the SF424 (R&R) Application Guide. 

Appendix

Do not use the Appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.  

 
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 Applying Electronically. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Guidelines for Applicants Experiencing System Issues. 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.

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 (SAM). 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 and responsiveness by components of participating organizations, NIH. Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.    

Post Submission Materials

Applicants are required to follow the instructions for post-submission materials, as described in NOT-OD-13-030.

Section V. Application Review Information
1. Criteria

Only the review criteria described below will be considered in the review process. As part of the NIH mission, all applications submitted to the NIH in support of biomedical and behavioral research are evaluated for scientific and technical merit through the NIH peer review system.

Overall Impact

Reviewers will provide an overall impact score to reflect their assessment of the likelihood that the proposed career development program will prepare individuals for successful, productive scientific research careers and thereby exert a sustained 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 the merit of the career development program, and give a separate score for each. When applicable, the reviewers will consider relevant questions in the context of proposed short-term training. An application does not need to be strong in all categories to be judged likely to have major scientific impact.

Career Development Program and Environment

  • Does the proposed program clearly outline a plan to recruit and develop well-qualified junior investigators for successful careers as neurosurgeon-researchers?
  • Is there evidence of an adequate pool of potential scholars who could benefit from receiving career development support?
  • Do the objectives, design and direction of the proposed career development program ensure effective training of neurosurgeons from multiple institutions around the country?
  • Is the proposed program likely to ensure that scholars will be prepared for successful and productive scientific careers?
  • Is there a plan to ensure that all scholars obtain a thorough understanding of experimental rigor with respect to experimental design, statistical methodology and data analysis and interpretation?
  • Is there evidence that the PD/PI will be able to coordinate career development activities for scholars who are training at the multiple sites?
  • Is there sufficient assurance that the required effort of the PD/PI, mentors and scholars will be devoted to their respective activities within the program?
  • Does the program describe a plan for an annual meeting that will serve to foster career development and success among neurosurgeon scholars and other junior neurosurgeon investigators?
  • Is there  a well-considered plan for inclusion of an appropriate number and type of attendees at this annual meeting, to include not only the K12 scholars but NINDS R25 neurosurgeon participants, neurosurgeons with individual K awards, other neurosurgeon scientists who are at a similar career stage and more established neurosurgeon researchers?
  • Does the program describe a rigorous scholar selection plan, designed to select the very best applicants from a national pool of candidates?
  •  Is there an affirmative plan for maximizing the potential number of applications from women and diverse individuals?
  • Does the scholar selection process provide a rigorous means for evaluation of the proposed research project, mentorship plan, career development plan and institutional environment and institutional commitment?

Does the program have a sound and equitable process for evaluating candidates, monitoring scholar progress and enforcing program policies?

Advisory Committee (NAC): Is the constitution of the NAC appropriate, with regard to scientific expertise, training record, stature in the community, gender distribution and inclusion of diverse individuals? Are the members of the NAC appropriately diverse with respect to geographic distribution and prior training affiliations? Are the NAC members well qualified to serve as primary and secondary mentors? Do most members of the NAC have the necessary status within the community to enforce the policies of the NRCDP? Does the NAC include junior neurosurgeon- and/or clinician-scientists who could provide insight and helpful advice to scholars? Is there evidence that each member of the NAC has agreed to devote the time necessary to ensure success of the program as designed? Is there adequate documentation describing the responsibilities of the NAC with regard to the provision of input, guidance and oversight of the program?

 Program Director(s)/Principal Investigator(s) (PD(s)/PI(s))

  • Does the PD/PI have the scientific qualifications, administrative experience, stature, mentoring experience and leadership experience to provide strong leadership, direction, management, and administration to the proposed career development program?
  • Does the PD/PI plan to commit sufficient time to the program to ensure its success? Is sufficient administrative support provided for the program?  Does the leadership team bring complementary and integrated expertise to the program? Is there evidence that an appropriate level of effort will be devoted by the program leadership to ensure program objectives? Are the PD(s)/PI(s) currently engaged in research relevant to the scientific area of the proposed program?
  • For applications designating multiple PD/PIs:
  • Is a strong justification provided that the multiple PD/PI leadership approach will benefit the training program and the trainees?
  •  Is a strong and compelling leadership approach evident, including the designated roles and responsibilities, governance, and organizational structure consistent with and justified by the aims of the training program and with the complementary expertise of each of the PD/PIs?

Mentors

Are there plans for ongoing evaluation of mentors chosen by the scholars? Will this evaluation process ensure high quality mentorship and successful research career development of the scholars? Is there evidence that the NRCDP PD/PI and NAC will be able to ensure appropriate and successful mentorship of the scholars?

Scholars

What is the quality of plans to identify, recruit, and select candidates who have a commitment to research relevant to the mission of NINDS and the potential to develop as independent researchers? Is there evidence that the NRCDP program is designed to contribute significantly to the scientific and professional development of the scholars? Does the plan for selection of the scholars include all of the eligibility criteria stated in this announcement? Does the plan for selection address the need to recruit from a national pool of candidates to enable selection of the best applicants from across the country? Does the selection plan adequately address the need for fairness and diversity in selection of scholars, with respect to departmental affiliations and research areas? Is there an appropriate and adequate plan to recruit scholars that will enhance gender and racial/ethnic diversity?

Training Record

Is there evidence of a successful past training record of the PD/PI(s) and for a renewal application, the NRCDP program, including the success of former scholars in seeking independent support and establishing productive scientific careers? Does the program have a rigorous evaluation plan to assess the quality and effectiveness of the training?

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.

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.

Resubmissions

Not Applicable

Renewals

For Renewals, 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 NRCDP, including the success of former scholars in seeking independent support and establishing productive scientific research careers? Has the program implemented a high quality annual meeting, with clear objectives and activities to meet these objectives? In the previous cycle, did the program implement an objective scholar selection process that ensured that the most meritorious candidates were identified and selected? Has the annual meeting, as implemented, served a wider purpose than simply the selection of scholars for support?

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.

Recruitment Plan to Enhance Diversity

Peer reviewers will separately evaluate the recruitment plan to enhance diversity after the overall score has been determined. Reviewers will examine the strategies to be used in the recruitment of individuals from underrepresented groups. The plan will be rated as ACCEPTABLE or UNACCEPTABLE, and the consensus of the review committee will be included in an administrative note in the summary statement.

Training in the Responsible Conduct of Research

All applications for support under this FOA must include a plan to fulfill NIH requirements for instruction in the Responsible Conduct of Research (RCR).  Taking into account the specific characteristics of the career development program, the level of scholar experience, and the particular circumstances of the scholars, the reviewers will evaluate the adequacy of the proposed RCR training in relation to the following five required components: 1) Format - Does the plan satisfactorily address the format of instruction, e.g. lectures, coursework and/or real-time discussion groups, including face-to-face interaction?  (A plan involving only on-line instruction is not acceptable.); 2) Subject Matter – Does the plan include a sufficiently broad selection of subject matter, such as conflict of interest, authorship, data management, human subjects and animal use, laboratory safety, research misconduct, research ethics? 3) Faculty Participation - Does the plan adequately describe how faculty will participate in the instruction?  For renewal applications, are all training faculty who served as course directors, speakers, lecturers, and/or discussion leaders during the past project period named in the application?  4) Duration of Instruction - Does the plan meet the minimum requirements for RCR, i.e., at least eight contact hours of instruction? 5) Frequency of Instruction – Does the plan meet the minimum requirements for RCR, i.e., at least once during each career stage (undergraduate, post-baccalaureate, predoctoral, postdoctoral, and faculty levels) and at a frequency of no less than once every four years? 

For renewal applications, does the progress report document acceptable RCR instruction in the five components described above? Does the plan describe how participation in RCR instruction is being monitored? Are appropriate changes in the plan for RCR instruction proposed in response to feedback and in response to evolving issues related to responsible conduct of research?

Plans and past record will be rated as ACCEPTABLE or UNACCEPTABLE, and the summary statement will provide the consensus of the review committee.

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).

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 NINDS 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:

  • 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.
  • Will receive a written critique.

Appeals of initial peer review will not be accepted for applications submitted response to this FOA.

Applications will be assigned 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  National Advisory Neurological Disorders and Stroke Council. 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 grantee’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.

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, Grantees, 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 law. This means that recipients of HHS funds must ensure equal access to their programs without regard to a person’s race, color, national origin, disability, age and, in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency.  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.

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.

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. HHS provides general guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see http://www.hhs.gov/ocr/civilrights/resources/laws/revisedlep.html. The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by HHS. Please see http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html; and http://www.hhs.gov/ocr/civilrights/understanding/index.html. Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at http://www.hhs.gov/ocr/office/about/rgn-hqaddresses.html or call 1-800-368-1019 or TDD 1-800-537-7697. Also note it is an HHS Departmental goal to ensure access to quality, culturally competent care, including long-term services and supports, for vulnerable populations. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.

Inventions and Copyrights

Awards made primarily for educational purposes are exempted from the PHS invention requirements and thus invention reporting is not required, as described in the NIH Grants Policy Statement.

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. Continuation support will not be provided until the required forms are submitted and accepted.

Failure by the grantee institution to submit 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.

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. 

Other Reporting Requirements
  • The institution must submit a completed Statement of Appointment (PHS Form 2271) for each trainee appointed or reappointed to the training grant for 8 weeks or more. 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 any time during the budget period, but not before the budget period start date 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.

A final progress report, 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. Evaluation results should be included as part of the final Progress Report.

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.

4. Evaluation

In carrying out its stewardship of human resource-related programs, the NIH may request information essential to an assessment of the effectiveness of this program from databases and from participants themselves. Participants may be contacted after the completion of this award for periodic updates on various aspects of their employment history, publications, support from research grants or contracts, honors and awards, professional activities, and other information helpful in evaluating the impact of the program.

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 Commons Help Desk (Questions regarding eRA Commons registration, submitting and tracking an application, documenting system problems that threaten submission by the due date, 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)

Grants.gov Customer Support (Questions regarding Grants.gov registration and submission, downloading forms and application packages)
Contact Center Telephone: 800-518-4726
Web ticketing system: https://grants-portal.psc.gov/ContactUs.aspx
Email: support@grants.gov

GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
Email: GrantsInfo@nih.gov (preferred method of contact)
Telephone: 301-710-0267

Scientific/Research Contact(s)

Stephen Korn, Ph.D.
National Institutes of Neurological Disorders and Stroke (NINDS)
Telephone: 301-496-4188
Email: korns@ninds.nih.gov

Peer Review Contact(s)

Ernie Lyons, Ph.D.
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-496-4056
Email: lyonse@ninds.nih.gov

Financial/Grants Management Contact(s)

Tia Decoster, Ph.D.
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-496-9231
Email: decostert@ninds.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 Section 487 of the Public Health Service Act as amended (42 USC 288) and under Federal Regulations 42 CFR 66.

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.

NIH Office of Extramural Research Logo
Department of Health and Human Services (HHS) - Home Page
Department of Health
and Human Services (HHS)
USA.gov - Government Made Easy
NIH... Turning Discovery Into Health®


Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.