OMHRC Supporting Statement A_final

Supporting Statement A for

NIDDK Office of Minority Health Research Coordination (OMHRC) Research Training and Mentor Programs Applications

NIH/NIDDK/OD/OMHRC

Spring 2016

Lawrence Agodoa, M.D., F.A.C.P.

Director, Office of Minority Health Research Coordination

National Institute of Diabetes and Digestive and Kidney Diseases

National Institutes of Health

6707 Democracy Blvd, Room 9221A

Bethesda, Maryland 20892

Phone: 301-594-1932

Fax: 301-594-9358

E-mail: [email protected]

Table of Contents

A. Justification……………………………………………………………………………………….……4

A1. Circumstances Making the Collection of Information Necessary 4

A2. Purpose and Use of the Information Collection 4

A3. Use of Information Technology and Burden Reduction 5

A4. Efforts to Identify Duplication and Use of Similar Information 6

A5. Impact on Small Businesses or Other Small Entities 6

A6. Consequences of Collecting the Information Less Frequently 6

A7. Special Circumstances Relating to the Guidelines of 5 CFR 1320.5 6

A8. Comments in Response to Federal Register Notice & Efforts to Consult Outside Agency 6

A9. Explanation of Any Payment or Gift to Respondents 6

A10. Assurance of Confidentiality Provided to Respondents 7

A11. Justification for Sensitive Questions 7

A12. Estimates of Hour Burden Including Annualized Hourly Costs 8

A13. Estimate of Other Total Annual Cost Burden to Respondents or Recordkeepers 10

A14. Annualized Cost to the Federal Government 10

A15. Explanation for Program Changes or Adjustments 10

A16. Plans for Tabulation and Publication and Project Time Schedule 10

A17. Reason(s) Display of OMB Expiration Date Is Inappropriate 11

A18. Exceptions to Certification for Paperwork Reduction Act Submissions 11

Attachments

1. Short-Term Research Experience for Underrepresented Persons (STEP-UP) Application

2. STEP-UP Student Feedback Form

3. Diversity Summer Research Training Program (DSRTP) Application

4. DSRTP Student Feedback Form

5. Network of Minority Health Research Investigators (NMRI) Enrollment Form

6. NMRI Evaluation Form

7. NMRI Survey Form

8. NMRI Mentor / Mentee / Agreement Forms

9. NIH National Medical Association (NMA) Fellows Program on Careers in Academic Medicine Application

10. NIH/NMA Feedback Form

11. NIH National Hispanic Medical Association (NHMA) Fellows Program Application

12. NIH/NHMA Feedback Form

13. STEP-UP Coordinating Centers and Contacts

14. Privacy Impact Assessment (PIA) Form

15. Privacy Act Notification Letter

A. Justification

This is a New, Existing collection without OMB approval. The proposed information collection activity is necessary in order to determine the eligibility and quality of potential awardees for traineeships and mentorships in these programs.

A1. Circumstances Making the Collection of Information Necessary

The National Institutes of Health (NIH), National Institute of Diabetes, Digestive and Kidney Diseases (NIDDK), Office of Minority Health Research Coordination (OMHRC) administers a variety of programs and initiatives to recruit high school through post-doctoral educational level individuals into research and mentorship training programs to facilitate development into future biomedical, behavioral, clinical or social scientists.

The legal authority granted to NIH to train future scientists comes from several sources.  Title 42 of the U.S. Code, Sections 241 and 282(b)(13) authorize the Director, NIH, to conduct and support research training for which fellowship support is not provided under Part 487 of the Public Health Service (PHS) Act (i.e., National Research Service Awards), and that is not residency training of physicians or other health professionals.  Sections 405(b)(1)(C) of the PHS Act and 42 U.S.C. Sections 284(b)(1)(C)] and 285-287 grant this same authority to the Director of each of the Institutes/Centers at NIH. 

Identification of participants to matriculate into the programs and initiatives comes from applications and related forms hosted through the four websites:

1. https://stepup.niddk.nih.gov/ApplyOnline.aspx

2. https://dsrtp.niddk.nih.gov/

3. http://nmri.niddk.nih.gov/

4. http://www.niddk.nih.gov/research-funding/process/diversity/travel-awards/nih-nma-travel-award/Pages/niddknma-travel-award.aspx

5. NHMA application is not available electronically at this time.

Prospective trainees and mentees for admission must apply directly to the OMHRC, and may be asked to provide the following information to ensure eligibility: personal information, eligibility criteria, contact information, research training program selection, scientific discipline interests, educational history, standardized examination scores, reference information, resume components, employment history, employment interests, research details, letters of recommendation, financial aid history, sensitive data, future networking contact, travel information, as well as feedback questions about interviews and application submission experiences. Sensitive data collected on the applicants: race, gender, ethnicity, and recruitment method, are made available only to OMHRC staff members or in aggregate form to project officers, select NIH offices and are not used by the admission committee for admission consideration.

A2. Purpose and Use of the Information Collection

This is a new, existing collection without an OMB control number and we are requesting approval for 3 years. The purpose of the proposed information collection activity is to assure that prospective trainees to OMHRC Research Training and Mentoring Programs meet basic eligibility requirements; to assess their potential as future scientists; to determine where mutual research interests exist; and to make decisions regarding which applicants will be proposed and approved for traineeship awards. In each case, completing the application is voluntary, but in order to receive due consideration, the prospective trainee must complete all required fields.

The OMHRC staff and NIH investigators have access to applications for select programs based on their affiliation. Access to the information contained in each application is restricted by a login password that will be regulated and monitored by the OMHRC staff. Selections for all of the OMHRC Research Training and Mentor Programs are made by an admissions committee and/or Program Director.

Over the last several years, the total number of participants in OMHRC Research Training and Mentoring programs have ranged from 1,000 to 2,000 trainees. To ensure the entire trainee population is receiving training and mentoring experiences to transition from student to colleague, the OMHRC created a series of workshops and activities to address research skills and career development.

The STEP-UP, DSRTP, NMRI and NMA online application databases are designed to collect and review applications for admissions into OMHRC Research and Training Programs; however, there is an increased need to develop an alumni component to each database to facilitate tracking the trainees and mentees past program participation to assess the overall impact of the programs. In addition to basic information previously listed, the following fields are of interest for the Alumni Database: current status, employment, and future networking contact information. The alumni database could be used to administer long-term follow-up surveys.

A3. Use of Information Technology and Burden Reduction

The online web application for the STEP-UP, DSRTP, NMRI and NMA have been developed to promote efficiency and long-term tracking capabilities.

Features of the online applications include, but are not limited to the following elements:

• Edit submitted application to ensure up-to-date information for evaluation

• E-mail confirmation of successful submission of application

• E-mail notice of recommendation request for trainee submission

• E-mail confirmation messages for receipt of the following items: application submitted, recommendation letter submitted from each reference

• Resend recommendation request via e-mail program

• E-mail notification of application status

In addition, prospective trainees are able to review Web pages hosting Application Directions and Frequently Asked Questions (FAQs) prior to submitting an application for admission consideration. The details posted within the Web pages ensure adequate time to carefully complete and submit a well-organized application. The estimated time to complete an application is approximately 45-minutes based on informal feedback from applicants

OMHRC’s online system reduces the burden on every applicant by streamlining the application process, improves agency efficiency and responsiveness to the public, and reduces the financial cost to applicants (there is no application fee for OMHRC programs).

A Privacy Impact Assessment (PIA) has been completed and submitted for each OMHRC Research Training and Mentor application database system.

A4. Efforts to Identify Duplication and Use of Similar Information

We are not aware of any other agencies with similar tools/systems in place to enhance the application process for a diversity related program.

A5. Impact on Small Businesses or Other Small Entities

No small business or other small entities will be affected by the implementation of OMHRC applications.

A6. Consequences of Collecting the Information Less Frequently

Without approval to collect applications for the various training programs, the OMHRC would be compromised in the ability to identify highly qualified trainees and mentees of various educational levels: high school students, undergraduate students, medical residents and fellows, and post-doctoral students. Submitted applications for admission remain active for up to five years and are then archived / disposed of based on the NIH policy for Keeping and Destroying Records (http://go.usa.gov/49xB).

A7. Special Circumstances Relating to the Guidelines of 5 CFR 1320.5

This information collection is consistent with these guidelines. Individuals that submit an application to OMHRC do so voluntarily.

A8. Comments in Response to Federal Register Notice and Efforts to Consult Outside Agency

The proposed information collection was published in the Federal Register (Vol. 81, No. 93, page 29877) on May 13, 2016, and no comments have been received.

Since the inception of the Office of Minority Health Research Coordination both formal and informational consultations with the Extramural Research Programs of the Institutes-Centers (see attachment), and university communities have convened to discuss concerns and ideas about training future biomedical scientists within OMHRC programs. Specific areas of interest and discussion included but were not limited to the following:

• Recruitment of high-ability trainees

• Application and interview process

• Requirements for advanced degrees

• Structure of NIH-University partnerships

• Trainee support and stipends

• Development of the NIH trainee community

• Monitoring, steering, and evaluation of training programs

• Mentor composition

A9. Explanation of Any Payment or Gift to Respondents

Neither payments nor gifts will be distributed to individuals to encourage the completion and submission of an application. However, matriculants into STEP-UP and DSRTP receive a stipend of up to $1,000 - $4,500 for their participation in the summer research experience.

A10. Assurance of Confidentiality Provided to Respondents

The data collection is covered by the NIH Privacy Act Systems of Record 09-25-0014, “Clinical Research: Student Records, HHS/NIH/OD/OIR/OE”, per the Privacy memo received. These applications do collect Personally Identifiable Information (PII), including: name, contact information, education, financial aid history, and employment history. Information about whether an applicant has a relative at the NIH is collected to ensure compliance with the NIH Nepotism Chapter 2300-310-1 (see http://go.usa.gov/49aj).

Information collected is available only to NIH scientific and program officials who recommend or approve awards and to administrative and financial officials who prepare the necessary documentation to arrange for stipend payments and approved awards. These individuals are assigned login credentials, including "strong" passwords that conform to standards used by the NIH Center for Information Technology, and the online tools these individuals use to access applicant data are restricted to OMHRC-approved users. Applicants receive login credentials, including randomly generated or user-defined passwords, when they first apply. Also, references submit their letters of recommendation via a password-protected Web site.

The Privacy Act Notification Statement that appears on each application is the following:

The primary use of information collected via OMHRC online forms is to evaluate an applicant's qualifications for research training at the National Institutes of Health (NIH).  Information may be used during admission consideration; in preparing appointment paperwork; and to provide data for training program evaluation.  Information will be disclosed to investigators, members of review committee, OMHRC staff, and contractors working on our behalf.  Application for this program is voluntary; however, in order for the OMHRC to process an application, the applicant must complete the required fields.

 

The NIDDK’s Computer Technology Branch is responsible for developing and maintaining the OMHRC web application. Information contained in the archive database is protected in a similar manner as the original database.

A11. Justification for Sensitive Questions

The OMHRC applications do not contain sensitive questions as described in the Points to Consider in A.11.

A12. Estimates of Hour Burden Including Annualized Hourly Costs

Table A12-1. Estimated Annualized Burden Hours:

Form Name	Type of Respondents	Estimated No. of Respondents	Estimated No. of Responses Annually Per Respondent	Average Burden per Response ( in hours)	Est. Total Annual Burden Hours
Attachment 1: Short-Term Research Experience for Underrepresented Persons (STEP-UP) Application	Students	2,000	1	45/60	1,500
Attachment 2: STEP-UP Student Feedback Form	Students	200	1	30/60	100
Attachment 3: Diversity Summer Research Training Program (DSRTP) Application	Students	200	1	45/60	150
Attachment 4: DSRTP Feedback Form	Students	40	1	30/60	20
Attachment 5: Network of Minority Research Investigators (NMRI) Enrollment Form	Researchers	200	1	15/60	50
Attachment 6: NMRI Evaluation Form	Researchers	100	1	15/60	25
Attachment 7: NMRI Survey Form	Researchers	1000	1	30/60	500
Attachment 8: NMRI Mentor / Mentee / Agreement Forms	Researchers	100	1	30/60	50
Attachment 9: NIH/NMA Fellows Program on Careers in Academic Medicine Application	Fellows	200	1	20/60	67
Attachment 10: NIH/NMA Feedback Form	Fellows	40	1	30/60	20
Attachment 11: NIH/NHMA Fellows Program Application Form	Fellows	200	1	20/60	67
Attachment 12: NIDDK/NHMA Feedback Form	Fellows	40	1	30/60	20
Totals		4320	4320		2569

Table A12-2. Annualized Cost to Respondents: The following table indicates the annualized cost to respondents. Hourly wage rates for trainees are based on the 2015-2016 NIH Fellow Trainee Stipends. See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-16-047.html

Form Name	Type of Respondents	Est. No. of Respondents	Est. Average Burden per Response (in hours)	Hourly Wage Based on NIH Stipend	Respondent Cost
Short-Term Research Experience for Underrepresented Persons (STEP-UP) Application	Student	2,000	1500	14.43	$21,645.00
STEP-UP Student Feedback Form	Student	200	100	14.43	$1,443.00
Diversity Summer Research Training Program (DSRTP) Application	Student	200	75	14.43	$1,082.25
DSRTP Feedback Form	Student	40	10	14.43	$144.30
Network of Minority Research Investigators (NMRI) Enrollment Form	Researchers	200	50	29.95	$1,497.50
NMRI Evaluation Form	Researchers	100	25	29.95	$748.74
NMRI Survey Form	Researchers	1000	500	29.95	$14,975.00
NMRI Mentor / Mentee / Agreement Forms	Researchers	100	50	29.95	$1,497.50
NIH/NMA Fellows Program on Careers in Academic Medicine Application	Fellows	200	67	22.75	$1,524.25
NIH/NMA Feedback Form	Fellows	40	20	22.75	$455.00
NIH / NHMA Fellows Program Application Form	Fellows	200	67	22.75	$1,524.25
NIH/NHMA Feedback Form	Fellows	40	20	22.75	$455.00

A13. Estimate of Other Total Annual Cost Burden to Respondents or Record Keepers

There are no capital costs, operating costs, or maintenance costs to report.

A14. Annualized Cost to the Federal Government

This includes program staff and IT Operation and Maintenance costs. The specific staff identified in Table A.14-1 are employees or contractors working for NIDDK. The estimated annual cost to the Federal government is $217,540.

TABLE A.14-1. ANNUALIZED COSTS TO THE FEDERAL GOVERNMENT

Staffing	Grade/Salary (Percent FTE or effort)	NIDDK Hourly Rate	Total Cost
IT FED Support Staff
Application Development Lead	GS 14-10 (3%)	$67.83	$5,370
IT Specialist	GS 13-5 (10%)	$50.04	$15,180
IT Contract Support
Business Analyst	80 (total hours)	$119	$9,520
DataBase Adminstrator	48 (total hours)	$124	$5,952
Developer	100 (total hours)	$114.75	$11,475
NMRI
Program Analyst	GS-10-1 (35%)	$28.20	$41,324
DSRTP
Program Analyst	GS 13-10 (25%)	$57.40	$29,517
STEP-UP
Health Science Administrator	GS 13-4 (30%)	$48.57	$30,408
Program Specialist	GS 11-8 (20%)	$38.21	$15,718
NMA
Health Science Administrator	GS 13-4 (25%)	$48.57	$25,340
Program Specialist	GS 11-8 (15%)	$38.21	$11,789
NHMA
Program Specialist	GS 11-8 (25%)	$38.21	15,947
TOTAL			$217,540

A15. Explanation for Program Changes or Adjustments

This is an New, existing collection in use without OMB Control Number, which is considered a “Change Due to Violation.” In 2014 it was recognized that this database existed and thus PRA/OMB Clearance is being requested. The proposed information collection activity is necessary in order to determine the eligibility and quality of potential awardees for traineeships and mentorships in these programs.

A16. Plans for Tabulation and Publication and Project Time Schedule

No statistical analysis will be conducted from the information collected from the OMHRC applications.

Table A16-1. Project Time Schedule: Application Opening and Closing Dates

Training Program	Application Opening Date	Application Closing Date
NIH/NMA Fellows Progam	February 11	May 20
NIH/NHMA Fellows Program	November 15	February 1
NIDDK Diversity Summer Research Training Program	November 15	February 15
Short-Term Research Experience for Underrepresented Persons(STEP-UP)	November 15	February 15
Network of Minority Health Research Investigators	Open All Year	Open All Year

A17. Reason(s) Display of OMB Expiration Date Is Inappropriate

The OMHRC will display the OMB Clearance Number, Expiration Data, and Burden Disclosure Statements

A18. Exceptions to Certification for Paperwork Reduction Act Submissions

There are no exceptions to the Certification for Paperwork Reduction Act Submissions.

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