This announcement represents the continuation of an AHRQ program that provides support to individuals who are conducting research undertaken as part of an accredited academic program to qualify for a research doctorate degree.

Expired PA-23-196: AHRQ Health Services Research Dissertation Program (R36)

This notice has expired. For NIH, in limited situations, applications may be accepted on a case-by-case basis for a short period after expiration to accommodate NIH late or continuous submission policies. Contact the eRA Service Desk for any submission issues. Check the NIH Guide for active opportunities and notices.

EXPIRED

Part 1. Overview Information

Participating Organization(s) Agency for Healthcare Research and Quality (AHRQ)

NOTE: The policies, guidelines, terms, and conditions stated in this announcement may differ from those used by the NIH. Where this Notice of Funding Opportunity (NOFO) provides specific written guidance that may differ from the general guidance provided in the grant application form, please follow the instructions given in this NOFO. Also note that AHRQ may have different page limits than NIH for the application Research Strategy, which can be found within each individual NOFO.

Components of Participating Organizations Agency for Healthcare Research and Quality (AHRQ)

Funding Opportunity Title AHRQ Health Services Research Dissertation Program (R36)

Activity Code R36 Dissertation Award

Announcement Type Reissue of PA-18-765

Related Notices

• March 6, 2026 - Notice of Early Expiration PA-23-196 -- AHRQ Health Services Research Dissertation Program (R36). See Notice NOT-HS-26-004
• March 31, 2025 - This funding opportunity was updated to align with agency priorities. Carefully reread the full funding opportunity and make any needed adjustments to your application prior to submission.
• April 04, 2024 - Overview of Grant Application and Review Changes for Due Dates on or after January 25, 2025. See Notice NOT-OD-24-084
• December 16, 2024 - Special Emphasis Notice: AHRQ Announces Interest in Research to Improve Treatment and Management of Menopause symptoms. See Notice NOT-HS-25-009.
• July 22, 2024 - Notice of Change to Funding Opportunity: AHRQ Health Services Research Dissertation Program (R36). See Notice NOT-HS-24-019
• May 13, 2024 - Special Emphasis Notice: AHRQ Announces Interest in Health Services Research to Improve Care Delivery, Access, Quality, Equity, and Health Outcomes for Older Adults. See Notice NOT-HS-24-013
• September 14, 2023 - Notice of Change to Funding Opportunity AHRQ Health Services Research Dissertation Program (R36). See Notice NOT-HS-23-022
• February 3, 2023 - Ruth L. Kirschstein National Research Service Award (NRSA) Stipends, Tuition/Fees and Other Budgetary Levels Effective for Fiscal Year 2023. See Notice NOT-OD-23-076.
• August 5, 2021 - Update: Notification of Upcoming Change in Federal-wide Unique Entity Identifier Requirements. See Notice NOT-OD-21-170.
• March 12, 2021 - Upcoming Changes to the Biographical Sketch and Other Support Format Page for Due Dates on or after May 25, 2021. See Notice NOT-OD-21-073.
• January 10, 2020 - AHRQ Guide Notice on Implementation of the Use of a Single Institutional Review Board (IRB) for Cooperative Research at 45 CFR 46.114 (b). See Notice NOT-HS-20-005.
• January 11, 2019 - AHRQ Announces Change in Grant Recipient Purchasing of Identifiable CMS Data, effective FY2019. See Notice NOT-HS-19-007.
• October 5, 2016 - AHRQ Policy Guidance Regarding Inflationary Increases (aka, cost-of-living adjustments, or COLAs) beginning in Fiscal Year 2017. See Notice NOT-HS-17-001.

Notice of Funding Opportunity (NOFO) Number PA-23-196

Companion Funding Opportunity None

Number of Applications See Section III. 3. Additional Information on Eligibility.

Assistance Listing Number(s) 93.226 These projects are being funded pursuant to 42 U.S.C. 299a.

Funding Opportunity Purpose This announcement represents the continuation of an AHRQ program that provides support to individuals who are conducting research undertaken as part of an accredited academic program to qualify for a research doctorate degree.

Key Dates

• Posted Date: May 3, 2023
• Open Date (Earliest Submission Date): May 8, 2023
• Letter of Intent Due Date(s): 30 days prior to the application due date
• Application Due Date(s): February 1, May 1, August 1, and November 1 annually, beginning August 1, 2023, by 5:00 PM local time of applicant organization. Recipients 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: Generally, four months after the receipt date.
• Advisory Council Review: Not Applicable
• Earliest Start Date: Generally, four months after the review date.
• Expiration Date: New Date March 6, 2026 per issuance of NOT-HS-26-004. (Original Expiration Date: May 7, 2028)
• Due Dates for E.O. 12372: Not Applicable

Required Application Instructions It is critical that recipients follow the Research (R) Instructions in the SF424 (R&R) Application Guide, except where instructed to do otherwise (in this NOFO or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the NOFO) is required and strictly enforced. Recipients must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in and follow the AHRQ Grants Policy and Guidance found on the AHRQ website at http://www.ahrq.gov/funding/policies/nofoguidance/index.html. 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.

• Use the NIH ASSIST system to prepare, submit and track your application online.
• 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.
• Use Grants.gov Workspace to prepare and submit your application and eRA Commons to track your application.

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

Research Objectives The overall goal of the AHRQ Grants for Health Services Research Dissertation Program (R36) is to support individuals for dissertation research in health services research as part of completing a research doctorate degree. More information about AHRQ training and career development programs may be found at the AHRQ Training and Education website and information about research training and career development may be found at the NIH Extramural Training Mechanisms website.

Applications for dissertation research grants must be responsive to AHRQ’s mission, which is to produce evidence to make health care safer, higher quality, more accessible, equitable, and affordable, and to work with the U.S. Department of Health and Human Services (HHS) and other partners to make sure that the evidence is understood and used. The research sponsored and conducted by the Agency develops and presents scientific evidence regarding all aspects of health care in the United States. It addresses issues of organization, delivery, financing, utilization, patient and provider behavior, outcomes, effectiveness, and cost. It evaluates both clinical services and the system in which these services are provided. These scientific results improve the evidence base to enable better decisions about health care, including such areas as disease prevention, appropriate use of medical technologies, improving diagnosis and treatment in cost-effective ways, long-term care, and reducing disparities based on race, ethnicity, gender, or socioeconomic status. AHRQ welcomes any area of health services research relevant to AHRQ's priority areas as a dissertation project topic.

AHRQ's priority areas of focus are:

• Research to improve health care patient safety.
• Harnessing data and technology to improve health care quality and patient outcomes and to provide a 360-degree view of the patient.
• Research to increase accessibility and affordability of health care by examining innovative market approaches to care delivery and financing.

Results should be directly relevant to customers, such as providers and practitioners, administrators, payers, consumers, policymakers, and insurers.

Candidates are encouraged to address health services research issues critical to AHRQ priority populations, as defined in Section IV.7.

Additionally, candidates should focus on projects that hold promise for advancing health equity and move beyond documenting the pervasiveness of disparities. AHRQ encourages a focus on developing or understanding evidence-based solutions to address inequities in care delivery that are driven by discrimination, structural racism, and other social, economic, and environmental determinates of health.

Candidates must conduct dissertation projects which focus on health care delivery in the United States. AHRQ will not accept international health care research projects.

This NOFO describes the procedures and criteria for the AHRQ dissertation grant program. It updates and supersedes the AHRQ Grants for Health Services Research Dissertation AHRQ PA-18-765, published May 2, 2018.

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
• 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 NOFO.

Clinical Trial? Not Applicable

Need help determining whether you are doing a clinical trial?

Funds Available and Anticipated Number of Awards The number of awards is contingent upon the availability of funds and the submission of a sufficient number of meritorious applications. Future year funding is contingent upon the availability of funds for each year of support.

Award Budget The direct costs awarded to a grant under this NOFO will be consistent with the current fiscal year National Research Service Award (NRSA) predoctoral stipend level and up to $15,000 direct costs for additional expenses. Facilities and Administrative (F&A) costs (i.e., overhead, or indirect costs) are limited to 8% of modified total direct costs.

Individuals supported under National Research Service Award (NRSA) mechanisms, including T32, F31 and F32 research training awards are eligible to apply for an AHRQ R36 dissertation award; however, such individuals may only request up to $15,000 direct costs for additional, non-salary expenses, and no funds may be requested for salary support.

Funds may be used only for those expenses that are directly related and necessary to the project and must be expended in compliance with applicable Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards (45 CFR Part 75) and the HHS Grants Policy Statement.

Award Project Period The project period must be no less than 9 months and may not exceed 17 months.

These projects are being funded pursuant to 42 U.S.C. 299a(b)(1), which provides that AHRQ may provide training grants in the field of health services research. All applications submitted and AHRQ grants made in response to this NOFO are subject to 45 CFR Part 75 (Uniform Administrative Requirements, Cost Principles and Audit Requirements for HHS Awards; https://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75), the HHS Grants Policy Statement (see https://www.ahrq.gov/funding/policies/hhspolicy/index.html), and the terms and conditions set forth in the Notice of Award.

Section III. Eligibility Information

1. Eligible Recipients

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 AHRQ 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)
• 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
  • Eligible Agencies of the Federal Government
• U.S. Territory or Possession
• Other
  • Independent School Districts
  • Public Housing Authorities/Indian Housing Authorities
  • Native American Tribal Organizations (other than Federally recognized tribal governments)
  • Faith-based or Community-based Organizations
  • Regional Organizations

AHRQ's authorizing legislation does not allow for-profit organizations to be eligible to lead applications under this research mechanism. For-profit organizations may participate in projects as members of consortia or as subcontractors only. Because the purpose of this program is to improve healthcare in the United States, foreign institutions may participate in projects as members of consortia or as subcontractors only. Applications submitted by for-profit organizations or foreign institutions will not be reviewed. Organizations described in section 501(c) 4 of the Internal Revenue Code that engage in lobbying are not eligible.

For dissertation grants, the applicant organization must be an accredited doctoral granting institution at which the student is registered and matriculating. Individuals cannot apply directly.

HHS grants policy requires that the grant recipient perform a substantive role in the conduct of the planned project or program activity and not merely serve as a conduit of funds to another party or parties. If consortium/contractual activities represent a significant portion of the overall project, the applicant must justify why the applicant organization, rather than the party(s) performing this portion of the overall project, should be the recipient and what substantive role the applicant organization will play. Justification can be provided in the Specific Aims or Research Strategy section of the PHS398 Research Plan Component sections of the SF424 (R&R) application. There is no budget allocation guideline for determining substantial involvement; determination of substantial involvement is based on a review of the primary project activities for which grant support is provided and the organization(s) that will be performing those activities.

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 HHS Grants Policy Statement via https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf, may participate in projects as member of consortia or as subcontractors only.

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 recipients should begin the registration process as soon as possible.

• System for Award Management (SAM) Recipients 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.
• Unique Entity Identifier (UEI) A UEI is issued as part of the SAM.gov registration process. The same UEI must be used for all registrations, as well as on the grant application.
• eRA Commons Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their Grants.gov registration; 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 Recipients must have an active 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) at the dissertation stage of training with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director/Principal Investigator (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 AHRQ support.

The PD/PI is also referred to in this NOFO as a "Candidate." Only one PD/PI may be designated on the application.

Candidates are eligible to apply for this award provided that they:

• Are U.S. citizens, non-citizen nationals, or permanent residents by the time of the grant award;
• Are full-time students (as defined by the student's institution) in good standing, who are enrolled in an accredited research doctoral program in such fields as behavioral sciences, health services research, nursing, social sciences, epidemiology, biostatistics, health policy, health informatics, engineering, economics and mathematics;
• Will have completed all non-dissertation requirements for their doctoral degree by the time of submission of the application, including completion of their qualifying exams. The only exception allowed will be the completion of required clinical internships that follow completion of the dissertation;
• Do not have more than part-time employment (defined as greater than twenty hours per week) in addition to the requirements of their current, full-time academic student appointment at the time the award is made; and
• Are not recipients of mentored career development awards.

Information for candidates with active National Research Service Award (NRSA) support: As noted above, individuals supported under NRSA mechanisms, including T32, F31 and F32 research training awards are eligible to apply for an AHRQ dissertation award. The request for support must satisfy the applicant's institutional policies and the application must include a statement describing the expenses requested under the AHRQ R36 dissertation grant program which are not supported through the active NRSA training grant or fellowship. However, individuals may only request up to $15,000 direct costs for additional, non-salary expenses; no funds may be requested for salary, fringe benefit, or stipend support during the period supported by the NRSA mechanism.

2. Cost Sharing This NOFO does not require cost sharing.

3. Additional Information on Eligibility

Number of Applications Applicant organizations may submit more than one application, provided that each application is scientifically distinct. The AHRQ will not accept duplicate or highly overlapping applications under review at the same time This means that the AHRQ 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.

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 NOFO. 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 recipients follow the Research (R) Instructions in the SF424 (R&R) Application Guide 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 AHRQ staff to estimate the potential review workload and plan the review. By the date listed in Part 1. Overview Information, prospective recipients 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 emailed to: Amy Chanlongbutra, Sc.D., MPH, CHES Division of Research Education Office of Extramural Research, Education, and Priority Populations Agency for Healthcare Research and Quality Telephone: (301) 427-1542 Email: [email protected]

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 NOFO.

• 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.
  • The dissertation candidate, who must be matriculated in an accredited doctoral program, will be the designated PD/PI. The mentor for the PD/PI must be listed as a key person.
  • The only other key persons to be listed are the other members of the dissertation committee. Attach a biographical sketch for the PD/PI, mentor, and all other key personnel. It is strongly encouraged that the doctoral dissertation committee include recognized health services researchers with appropriate interdisciplinary or multidisciplinary expertise necessary to fully support the research activities.
• R&R or Modular Budget: All instructions in the SF424 (R&R) Application Guide must be followed.
  • Budget Component: Special Instructions for AHRQ applications AHRQ is not using the Modular Grant Application and Award Process. Applicants applying for funding from AHRQ are to ignore application instructions concerning the Modular Grant Application and Award Process, and prepare applications using instructions for the Research and Related Budget Components of the SF 424 (R&R). Applications submitted in the Modular format will not be reviewed.
  • The applicant must provide justification for each budget item requested in the detailed budget for the total period of support being requested. Include salary, equipment, travel, and other costs as appropriate. The budget component is described further below.
  • Allowable Costs:
    • Stipend/Salary Compensation: Though this is not a NRSA award, stipend/salary compensation can be requested for the Candidate up to the current fiscal year NRSA pre-doctoral stipend level (information for the current fiscal year can be found at https://researchtraining.nih.gov/resources/policy-notices). Salary must be consistent with the established salary structure at the institution if it were using its own funds to support other staff members of equivalent qualifications, rank, and responsibilities at the institution, therefore the lesser of the institution's established salary structure or the current fiscal year NRSA pre-doctoral stipend level may be requested. Fringe benefits can be requested only if the candidate is employed by the applicant organization. Candidates who have active NRSA training grants or fellowships may not request stipend/salary support from the dissertation grant while the other source of support is active. These individuals may only request up to $15,000 direct costs for non-salary expenses. Salary may not be requested for any personnel other than the Candidate.
    • Tuition and Matriculation: Costs associated with dissertation credits and matriculation fees that are required during the course of the grant period. Tuition related costs should be itemized in the budget. If requested, health insurance fees should also be listed in the budget, as well as other direct costs associated with completing the dissertation, such as materials, supplies and ADP services.
    • Data Collection/Coding: Justifiable costs associated with data collection/coding, such as data purchase, the need for additional data transcription services (other than that provided by the Candidate) for qualitative data, survey incentives, or travel costs directly associated with data collection. Travel costs associated with data collection should be budgeted separately from any travel costs associated with conference attendance and should not be counted toward the $1,500 limit on scientific meeting/conference travel (see below).
    • Scientific Meeting/Conference Travel: Candidates can request up to $1,500 in travel costs to attend appropriate scientific meetings or conferences focusing on his/her research topic that take place in the United States.
    • Equipment/Supplies: General purpose equipment items, such as personal computers, must be separately listed and estimated under equipment costs or under supply costs, depending on the applicant institution's definition of equipment. In particular, proposed computer-related purchases need to be fully justified in terms of not being readily available to the student for the conduct of the research.
  • Unallowable Costs: Specific costs not allowed on dissertation research grants include: salary support for individuals other than the candidate, consultant/consulting costs (including computer and statistical consulting support), alterations/renovations, space rental, contracting or consortium costs, dissertation defense or deposit fees, membership fees, costs associated with faculty/advisor mentor supervision. The above lists of allowable and unallowable costs are not all-inclusive, and the applicant should contact AHRQ grants management staff regarding any other items being considered for which there are questions regarding allowability.
  • Level of Effort: The candidate must devote at least 40 hours per week to the dissertation for a minimum of nine months beginning at the time of award. The requested start date of award must be estimated to begin no less than eight months from the submission date. Receipt of additional compensation (e.g., pay) from other sources for performance of work that is distinctly separate from the actual work involved in the conduct of the dissertation is allowable, but cannot exceed a paid level of effort greater than 20 hours per week beginning at the time of award.
  • Facilities and Administrative Costs: Facilities and administrative costs (i.e., overhead or indirect costs) are limited to no more than eight percent of modified total direct costs.
• 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:
  • Research Strategy: Part of the research strategy must describe any potential outcomes, products and/or impact of the proposed dissertation on policy or practice, as well as dissemination plans, which involve traditional academic as well as nontraditional means of communicating relevant research findings to policymakers or health care delivery personnel. A clear description of the unique contribution of this effort must be included, especially if the research builds upon ongoing or previously conducted work by the principal investigator, or other dissertation committee member/faculty. NOTE: As described in the SF 424 (R&R), the Project Summary/Abstract and Project Narrative are separate from the Research Strategy.
  • Letters of Support: Two letters are required. (NOTE: These differ in content from the optional Cover Letter described in the SF424 (R&R) instructions). These letters are uploaded where indicated in the Other Research Plan Sections of the PHS 398 Research Plan. Because only one pdf file is allowed for the Letter of Support item in the PHS Research Plan Component, combine these letters with any other optional Letters of Support (below) into one file. Each letter is limited to a total of two pages. The required letters are:
    1. A letter from the faculty committee or the University official directly responsible for supervising the dissertation research must be submitted with the grant application. The letter must specifically address the potential of the candidate, as well as the qualifications and experience of the candidate to conduct the study as proposed, both in terms of content and methodological expertise gained from coursework. In addition, the letter must:
       • Certify that the dissertation grant application reflects the planned dissertation work to be conducted by the Candidate;
       • Certify that the Candidate has completed all other necessary requirements for completion of the doctorate degree, other than the dissertation proposal defense. This includes certifying that all coursework required for the completion of the Ph.D. will be completed prior to submission. Please note that certification that the proposal defense has been successfully completed will be required prior to AHRQ issuing an award, should the application be selected for funding.
       • Certify, if applicable, that the candidate will not have more than part-time employment (defined as greater than twenty hours per week) in addition to the requirements of their current, full-time academic student appointment at the time the award is made;
       • Acknowledge the existence of sufficient institutional infrastructure support for the candidate, including but not limited to items such as office space, computer access, mentoring plan, etc.;
       • Include a mentorship description that clearly notes the frequency of meetings as well as content and methodological support to be provided; and
       • Indicate that a collaborative process was established between the candidate and advisors in the development and review of this dissertation grant application.
    2. A letter from the Candidate which must discuss career goals, background and interest in health services research, the anticipated manner in which the proposed dissertation will contribute to career goals, and the unique relevance of the proposed dissertation to AHRQ. The applicant should pay particular attention to the application guide instructions concerning letters of support. Letters of support, recommendation, or affirmation, other than those stated above, from any entity or individual not directly participating in the project should not be included.
  • 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, with the following modification: Generally, Resource Sharing Plans are expected, but they are not applicable for this NOFO.
  • Appendix: Only limited Appendix materials are allowed. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide with the following modification: Acceptable Appendix materials are a copy of the official transcript of the candidate's doctoral program record, to date, and copies of any survey instruments or questionnaires, data collection or interview guides used in the proposed research, if applicable. Do not use the Appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide. See NIH/NIOSH/AHRQ New Policy Appendix Guide located at NOT-OD-18-126
  • Other Plan(s): All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions: A Data Management and Sharing Plan is not applicable for this NOFO.
  • Planned Enrollment Report: When conducting clinical research, follow all instructions for completing Planned Enrollment Reports as described in the SF424 (R&R) Application Guide.
  • PHS Cumulative Inclusion Enrollment Report: When conducting clinical research, follow all instructions for completing Cumulative Inclusion Enrollment Report 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 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. For details regarding IRB approval, recipients may refer to the "AHRQ Revised Policy for Institutional Review Board (IRB) Review of Human Subjects Protocols in Grant Applications" (https://grants.nih.gov/grants/guide/notice-files/not-hs-00-003.html). Applicant should also be aware of the AHRQ policy for use of single IRB for cooperative research, 45 CFR 46.114 (b) https://grants.nih.gov/grants/guide/notice-files/NOT-HS-20-005.html.
  • 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. The Federal awarding agency may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

4. Submission Dates and Times Part I. Overview Information contains information about Key Dates and times. Recipients 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). Recipients must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. AHRQ 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.

Recipients 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 For efficient grant administration, AHRQ grant administration procedures will be used and conducted in accordance with the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement. The Grants Policy Statement can be found at http://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf. Pre-award costs are NOT allowed.

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.
• Recipients 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 form. 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 AHRQ. See Section III of this NOFO for information on registration requirements.
• The applicant organization must ensure that the unique entity identifier provided on the application is the same identifier 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 by the Center for Scientific Review, National Institutes of Health, and for responsiveness by AHRQ. Institutional Review Board (IRB) approval of human subjects is not required prior to peer review of an application (see https://grants.nih.gov/grants/guide/notice-files/NOT-HS-00-003.html). However, initiation of IRB review, if necessary or applicable, is strongly encouraged to assure timely commencement of research. Although there is no immediate acknowledgement of the receipt of an application, recipients are generally notified of the review and funding assignment within eight (8) weeks. Please be sure that you observe the total cost, project period, and page number limitations specified above for this NOFO. Application processing may be delayed or the application may be rejected if it does not comply with these requirements.

Post Submission Materials Recipients are required to follow the instructions for post-submission materials, as described in https://grants.nih.gov/grants/guide/notice-files/NOT-OD-19-083.html. https://grants.nih.gov/grants/guide/notice-files/NOT-OD-19-083.html. Any instructions provided here are in addition to the instructions in the policy.

Priority Populations AHRQ is committed to the inclusion of priority populations in health services research. The overall portfolio of health services research that AHRQ conducts and supports shall include the populations specifically named in AHRQ’s authorizing legislation: inner city; rural; low income; minority; women; children; elderly; and those with special healthcare needs, including those who have disabilities, need chronic care, or need end-of-life healthcare. 42 U.S.C. 299(c)(1). AHRQ also includes in its definition of priority populations those groups identified in Section 2(a) of Executive Order 13985 as members of underserved communities: Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.

AHRQ will broadly implement this inclusion policy across the research that AHRQ supports and conducts so that the portfolio of research is inclusive of all populations. AHRQ intends that these populations be included in studies such that the research design explicitly allows conduct of valid analyses. The policy applies to all grant applications. Investigators should review the document entitled, AHRQ Policy on the Inclusion of Priority Populations, which is available at https://grants.nih.gov/grants/guide/notice-files/NOT-HS-21-015.html.

Recipients under this NOFO must consider and discuss including priority populations in research design as specified in this Notice.

Public Access to AHRQ-Funded Scientific Publications Investigators should review the document titled AHRQ Announces new Policy for Public Access to AHRQ-Funded Scientific Publications, which is available at (http://grants.nih.gov/grants/guide/notice-files/NOT-HS-16-008.html). For all research arising from AHRQ support, this policy requires that AHRQ-funded authors submit an electronic version of the author’s final peer-reviewed accepted manuscript to the National Library of Medicine's PubMed Central (PMC) to be made publicly available within 12 months of the publisher’s date of publication.

Plan for Sharing Research Data The precise content of the data-sharing plan will vary, depending on the data being collected and how the investigator is planning to share the data. Recipients who are planning to share data should describe briefly the expected schedule for data sharing; the format of the final dataset; the documentation to be provided; whether or not any analytic tools also will be provided; whether or not a data-sharing agreement will be required and, if so, a brief description of such an agreement (including the criteria for deciding who can receive the data and whether or not any conditions will be placed on their use); and the mode of data sharing (e.g., under its own auspices by mailing a disk or posting data on its institutional or personal website or through a data archive or enclave). Investigators choosing to share under their own auspices may wish to enter into a data-sharing agreement. The reasonableness of the data sharing plan or the rationale for not sharing research data will be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score.

Data Confidentiality The AHRQ confidentiality statute, 42 USC 299c-3(c), requires that information that is obtained in the course of AHRQ supported activities and that identifies individuals or establishments be used only for the purpose for which it was supplied. Information that is obtained in the course of AHRQ-supported activities and that identifies an individual may be published or released only with the consent of the individual who supplied the information or is described in it. There are civil monetary penalties for violation of the confidentiality provision of the AHRQ statute. 42 USC 299c-3(d). In the Human Subjects section of the application, recipients must describe procedures for ensuring the confidentiality of the identifying information to be collected (see NOT-HS-18-012: Confidentiality in AHRQ-Supported Research). The description of the procedures should include a discussion of who will be permitted access to this information, both raw data and machine-readable files, and how personal identifiers and other identifying or identifiable data will be restricted and safeguarded. Identifiable patient health information collected by recipient under this RFA will also be obtained and managed in accordance with the HIPAA Privacy Rule, 45 CFR Parts 160 and 164.

The recipient should ensure that computer systems containing confidential data have a level and scope of security that equals or exceeds that established by the HIPAA Security Rules if applicable (see HIPAA website in prior paragraph) and that established by the Office of Management and Budget (OMB) in OMB Circular No. A-130, Appendix III - Security of Federal Automated Information Systems. The applicability and intended means of applying these confidentiality and security standards to subcontractors and vendors, if any, should be addressed in the application.

Sharing Research Resources: Rights in Data Unless otherwise provided in grant awards, AHRQ recipients may copyright, or seek patents for, as appropriate, final and interim products and materials developed in whole or in part with AHRQ support, including, but not limited to, methodological tools, measures, software with documentation, literature searches, and analyses. Such copyrights and patents are subject to a royalty-free, non-exclusive, and irrevocable AHRQ license to reproduce, publish, use or disseminate for any purpose consistent with AHRQ’s statutory responsibilities and to authorize others to do so for any purpose consistent with AHRQ’s statutory responsibilities. In accordance with its legislative dissemination mandate, AHRQ purposes may include, subject to statutory confidentiality protections, making project materials, databases, results, and algorithms available for verification or replication by other researchers. In addition, subject to AHRQ budget constraints, final products may be made available to the healthcare community and the public by AHRQ or its agents if such distribution would significantly increase access to a product and thereby produce substantial or valuable public health benefits. Ordinarily, to accomplish distribution, AHRQ publicizes research findings but relies on recipients to publish research results in peer-reviewed journals and to market grant-supported products. AHRQ requests that recipients notify the Office of Communications (OC) when an AHRQ-funded research article has been accepted for publication in a peer-reviewed journal. Researchers should submit manuscripts that have been accepted for publication in a peer-reviewed journal to [email protected] at least four to six weeks in advance of the journal’s expected publication date. Regulations applicable to AHRQ recipients concerning intangible rights and copyright can be found at 45 CFR 75.322.

Section V. Application Review Information

1. Criteria The mission of AHRQ is to produce evidence to make healthcare safer, higher quality, more accessible, equitable, and affordable, and to work with the U.S. Department of Health and Human Services (HHS) and other partners to make sure that the evidence is understood and used. AHRQ's priority areas of focus are detailed here: https://www.ahrq.gov/funding/policies/nofoguidance/index.html.

As part of this mission, applications are submitted to AHRQ to support health services research which are evaluated for scientific and technical merit through the AHRQ peer review system. Applications that are complete and responsive to the NOFO will be evaluated for scientific and technical merit by an appropriate objective group convened in accordance with standard AHRQ peer-review procedures that are described in 42 CFR Part 67, Subpart A. Incomplete and/or non-responsive applications or applications not following instructions given in this NOFO will not be reviewed.

Merit Review Criteria: Merit Review Criteria, as described below, will be considered in the review process.

• 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?
  • Investigator(s): Are the PD/PI and mentor(s) appropriately trained and well suited to the proposed research project? Is there evidence that an appropriate level of effort will be devoted by the mentor(s) to ensure the successful completion of the dissertation project? Is there evidence that mentor(s) has been adequately prepared to actively work with the PD/PI and has actively worked with the PD/PI to date in the development of the proposed dissertation project? Does a viable mentoring plan and/or mentor/PD/PI agreement exist? Does the PD/PI demonstrate potential to have a successful career in health services research?
  • 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?
  • 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? If the project involves human subjects and/or 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?
  • 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?

• 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: 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. For details regarding IRB approval, recipients may refer to the "AHRQ Revised Policy for Institutional Review Board (IRB) Review of Human Subjects Protocols in Grant Applications" (https://grants.nih.gov/grants/guide/notice-files/not-hs-00-003.html). Applicant should also be aware of the AHRQ policy for use of single IRB for cooperative research, 45 CFR 46.114 (b) https://grants.nih.gov/grants/guide/notice-files/NOT-HS-20-005.html.
  • Inclusion of Priority Populations: Peer reviewers will assess the adequacy of plans to address the needs of AHRQ priority populations. Peer reviewers must include their assessment of the proposed inclusion plan for priority populations in evaluating the overall scientific and technical merit of the application and assigning the impact score. In evaluating the overall impact of the application, the review groups will:
    • Evaluate the application for the presence or absence of the inclusion plan based on the proposed research objectives.
    • Evaluate the adequacy of the proposed plan for the inclusion of priority populations.
    • Evaluate the proposed justification for the exclusion of priority populations when a requirement for inclusion is described as inappropriate with respect to the purpose of the research.
    • Evaluate the plans for outreach and recruitment of study participants, including priority populations, where appropriate.
    • Evaluate the proposed plan for study design, execution and outcome assessments so that study results will be relevant to one or more priority populations, where appropriate.
    • Assess the plan as being acceptable or unacceptable with regard to the appropriateness of the inclusion or exclusion of priority populations in the proposed research.
  • Degree of Responsiveness: Reviewers will assess how well the application addresses the purpose and objectives of this NOFO. How responsive is the application to the special eligibility criteria, including the project requirements, noted in the NOFO?
  • Budget and Period of Support: The committee will evaluate whether the proposed budget is reasonable, and whether the requested period of support is appropriate in relation to the proposed research.
  • 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: N/A
  • Revisions: N/A

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.

• Resource Sharing Plans: Not Applicable
• Applications from Foreign Organizations: Not Applicable.

2. Review and Selection Process Applications that are complete and responsive to the NOFO will be evaluated for scientific and technical merit by an appropriate Scientific Review Group convened in accordance with standard AHRQ peer review procedures that are described in 42 CFR Part 67, Subpart A. Incomplete and/or non-responsive applications or applications not following instructions given in this NOFO will not be reviewed.

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.

Applications will be assigned on the basis of established AHRQ referral guidelines to the appropriate AHRQ Office or Center. Applications will compete for available funds with all other recommended applications submitted in response to this NOFO.

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.
• Responsiveness to goals and objectives of the NOFO.
• Proposed approach to addressing health equity.
• Relevance and fit within AHRQ research priorities, as well as overall programmatic and geographic balance 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 HHS Grants Policy Statement (see https://www.ahrq.gov/funding/policies/hhspolicy/index.html).

Section VI. Award Administration Information

1. Award Notices If the application is under consideration for funding, AHRQ Division of Grants Management staff will request "Just-In-Time" information from the applicant. Just-In-Time information generally consists of information on other support, any additional information necessary to address administrative and budgetary issues, and certification of IRB approval of the project's proposed use of human subjects. For details regarding IRB approval, recipients may refer to the "AHRQ Revised Policy for Institutional Review Board (IRB) Review of Human Subjects Protocols in Grant Applications" (https://grants.nih.gov/grants/guide/notice-files/not-hs-00-003.html). Applicant should also be aware of the AHRQ policy for use of single IRB for cooperative research, 45 CFR 46.114 (b) https://grants.nih.gov/grants/guide/notice-files/NOT-HS-20-005.html.

If all administrative and programmatic issues are resolved, 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 AHRQ grants management officer is the authorizing document and will be sent via email to the e-mail address designated by the recipient organization during the eRA Commons registration process.

Recipients must comply with any funding restrictions described in Section IV.6. 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. Individual awards are based on the application submitted to, and as approved by, the AHRQ and are subject to the AHRQ-specific terms and conditions identified in the NoA. Any application awarded in response to this NOFO will be subject to the SAM Registration, and Transparency Act requirements as noted on the AHRQ web site at https://www.ahrq.gov/funding/grant-mgmt/index.html.

The dissertation award terminates once the requirements for the doctoral degree are met. Should an award terminate before the reflected project period end date, the recipient is required to submit a letter to the AHRQ Grants Management Specialist, countersigned by an authorized institutional official, indicating the expected end date. Unexpended funds are to be reported on the final Federal Financial Report (FFR) and returned to the AHRQ within 90 days of the project period end date.

2. Administrative and National Policy Requirements All AHRQ grant and cooperative agreement awards are subject to OMB's Uniform Grant Guidance, HHS’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards, (http://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75, and the HHS Grants Policy Statement (see http://www.ahrq.gov/funding/policies/hhspolicy/index.html), and the terms and conditions set forth in the Notice of Award.

All recipients will be subject to a term and condition that applies the terms of 48 CFR section 3.908 to the award, and requires that recipients inform their employees in writing of employee whistleblower rights and protections under 41 U.S.C. 4712 in the predominant native language of the workforce.

As necessary, additional Terms and Conditions will be incorporated into the NoA. If you are successful and receive a Notice of Award, in accepting the award, you agree that the award and any activities thereunder are subject to all provisions of 45 CFR Part 75, currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions.

AHRQ regulatory procedures that pertain to suspension and termination are specified in 45 CFR 75.371 through 75.375. There is a prohibition on certain telecommunications and video surveillance services or equipment that became effective on or after August 13, 2020. Should you successfully compete for an award, recipients of federal financial assistance (FFA) from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in which you agree, as a condition of receiving the grant, to administer your programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, age, sex and disability, and agreeing to comply with federal conscience laws, where applicable. This includes ensuring that entities take meaningful steps to provide meaningful access to persons with limited English proficiency; and ensuring effective communication with persons with disabilities. Where applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual orientation, and gender identity, The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civil-rights/for-providers/provider-obligations/index.html and https://www.hhs.gov/civil-rights/for-individuals/nondiscrimination/index.html.

For guidance on meeting your legal obligation to take reasonable steps to ensure meaningful access to your programs or activities by limited English proficient individuals, see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/fact-sheet-guidance/index.html and https://www.lep.gov. For information on your specific legal obligations for serving qualified individuals with disabilities, including providing program access, reasonable modifications, and to provide effective communication, see http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html. HHS funded health and education programs must be administered in an environment free of sexual harassment, see https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/index.html. For guidance on administering your project in compliance with applicable federal religious nondiscrimination laws and applicable federal conscience protection and associated antidiscrimination laws, see https://www.hhs.gov/conscience/conscience-protections/index.html and https://www.hhs.gov/conscience/religious-freedom/index.html. Contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at OCR Home | HHS.gov or call 1-800-368-1019 or TDD 1-800-537-7697.

Health Literacy Below are available HHS resources.

• HHS Health.gov: Health Literate Care Model
• AHRQ: Health Literacy Universal Precautions Toolkit

For additional guidance regarding how the provisions apply to AHRQ grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this NOFO.

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), AHRQ awards will be subject to the Federal Recipient 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 recipients as described in 45 CFR Part 75.205 Federal awarding agency review of risk posed by recipients. This provision will apply to all AHRQ grants and cooperative agreements except fellowships.

Cooperative Agreement Terms and Conditions of Award Not Applicable

3. Reporting When multiple years are involved, recipients will be required to submit the Research Performance Progress Report (RPPR) annually unless specific otherwise in the terms of the award. For details regarding annual progress report submission, refer to https://www.ahrq.gov/funding/grant-mgmt/noncomp.html. If instructions on the AHRQ website are different from the RPPR Instructions, follow the instructions on the AHRQ website. Annual progress reports are due 3 months before the start date of the next budget period of the award.

In addition to the annual Research Performance Progress Report (RPPR) that is required of grants with multiple years of funding, awards under this NOFO carry the requirement to submit a Disparities Impact Statement as part of the RPPRs. Instructions on reporting requirements will be provided at the time of grant award. Conference calls with the AHRQ Program Official for the grant may also be required at the discretion of the Program Official.

Recipients are required to submit expenditure data on the Federal Financial Report (FFR; SF 425) annually. Expenditure data is to be reported on the Federal Financial Report (FFR; SF 425). AHRQ requires annual financial expenditure reports for ALL grant programs as described in the HHS Grants Policy Statement (https://www.ahrq.gov/funding/policies/hhspolicy/index.html). AHRQ implementation of the FFR retains a financial reporting period that coincides with the budget period of a particular project. However, the due date for annual FFRs is 90 days after the end of the calendar quarter in which the budget period ends. For example, if the budget period ends 4/30/2023, the annual FFR is due 9/30/2023 (90 days after the end of the calendar quarter of 6/30/2023).

A final Progress Report, final Federal Financial Report, and Final Invention Statement are required when an award ends. All final reports are due within 120 days of the project period end date. For further details regarding grant closeout requirements, refer to Post Award Grants Management | Agency for Healthcare Research and Quality (ahrq.gov)

AHRQ NOFOs outline intended research goals and objectives. Post award, AHRQ will review and measure performance based on the details and outcomes that are shared within the RPPR, as described at 45 CFR Part 75.301 and 2 CFR Part 200.301.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for recipients of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All recipients of applicable AHRQ grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over the threshold. See the HHS Grants Policy Statement (http://www.ahrq.gov/funding/policies/hhspolicy/index.html) for additional information on this reporting requirement.

In accordance with the regulatory requirements provided at 45 CFR 75.113 and 2 CFR Part 200.113 and Appendix XII to 45 CFR Part 75 and 2 CFR Part 200, 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 and 2 CFR Part 200 Award Term and Condition 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 recipients.

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: https://www.era.nih.gov/need-help (preferred method of contact)
  • Telephone: 301-402-7469 or 866-504-9552 (Toll Free)
• Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace)
  • Contact Center Telephone: 800-518-4726
  • Email: [email protected]

Scientific/Research Contact(s)

• Amy Chanlongbutra, Sc.D., MPH, CHES Division of Research Education Office of Extramural Research, Education, and Priority Populations Agency for Healthcare Research and Quality Telephone: (301) 427-1542 Email: [email protected]

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

• Armaz Aschrafi, Ph.D. Agency for Healthcare Research and Quality Office of Extramural Research, Education and Priority Populations Division of Scientific Review Email: [email protected]

Financial/Grants Management Contact(s)

• Anna Caponiti Division of Grants Management Office of Management Services Agency for Healthcare Research and Quality Telephone: 301-427-1402 Email: [email protected]

Section VIII. Other Information

Recently issued AHRQ policy notices may affect your application submission. A full list of policy notices published by AHRQ is provided in the NIH Guide for Grants and Contracts. Notices can also be found at AHRQ Grants Policy Notices.

Authority and Regulations This program is described in the Assistance Listings (formerly called the Catalog of Federal Domestic Assistance) at https://sam.gov/content/home and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made under the authority of 42 USC 299 et seq., and in accordance with 45 CFR Part 75 and other referenced applicable statutes and regulations. All awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement. The HHS Grants Policy Statement can be found at http://www.ahrq.gov/funding/policies/hhspolicy/index.html.

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