RESEARCH ON CHILD NEGLECT

Release Date:  February 28, 2001

PA NUMBER:  PA-01-060

NIH Office of Behavioral and Social Sciences Research
National Institute on Alcohol Abuse and Alcoholism, NIH
National Institute of Child Health and Human Development, NIH
National Institute on Drug Abuse, NIH
National Institute of Dental and Craniofacial Research, NIH
National Institute of Justice, Office of Justice Programs, DOJ
National Institute of Mental Health, NIH
National Institute of Neurological Disorders and Stroke, NIH
Children's Bureau, Administration on Children, Youth and Families
Office of Juvenile Justice and Delinquency Prevention, Office of 
Justice Programs, DOJ
Office of Special Education Programs, Department of Education

THIS RFA USES THE "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. IT INCLUDES 
DETAILED MODIFICATIONS TO STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED 
WHEN PREPARING APPLICATIONS IN RESPONSE TO THIS PA.

PURPOSE

The above sponsoring Institutes invite applications in response to this 
Program Announcement (PA) that will enhance our understanding of the etiology, 
extent, services, treatment, management, and prevention of child neglect. This 
PA is a follow-up to a 1999 Request for Applications designed to stimulate the 
development of programs of child neglect research at institutions that 
currently have strong research programs in related areas, and to bring the 
expertise of researchers from the child health, education, and juvenile 
justice fields into the child neglect research field. The PA is intended to 
foster ongoing programs of research on child neglect throughout NIH, the DOJ 
Office of Juvenile Justice and Delinquency Prevention, the Children's Bureau, 
and the ED Office of Special Education Programs, in order to encourage the 
continuation of the kind of research stimulated by the 1999 RFA. (The Office 
of Child Abuse and Neglect, in the Children's Bureau, will participate pending 
the reauthorization of the Child Abuse Prevention and Treatment Act and the 
availability of funds.)

While increasing attention is being paid to the issue of child abuse, little 
systematic research has yet addressed the equally significant problem of child 
neglect.  Yet child neglect may relate to profound health consequences, 
including premature birth and perinatal complications, physical injuries (such 
as central nervous system and craniofacial injuries, fractures, and severe 
burns), disfigurement, disabilities, and mental and behavior problems (e.g., 
suicide, lowered IQ, depression, anxiety, post-traumatic stress disorder, 
delinquency and later adult criminal behavior, drug and alcohol abuse, and a 
greater likelihood of growing up to repeat the cycle of negative behaviors as 
a parent).  Moreover, child neglect can place children at higher risk for a 
variety of diseases and conditions (e.g., through elevated exposure to toxins 
causing anemia, cancer, heart disease, poor immune functioning, and asthma; 
through inadequate health promoting behaviors--medical checkups, proper diet, 
etc.--needed to prevent disease or manage chronic disorder).  Child neglect 
can also interfere with normal social, cognitive, and affective development, 
including the development of language, social relationships, and academic 
skills.   

Thus, child neglect is a serious public health, justice, social services, and 
education problem, not only compromising the immediate health of our nation's 
children, but also threatening their growth and intellectual development, 
their long-term physical and mental health outcomes, their propensity for pro-
social behavior, their future parenting practices, and their economic 
productivity as eventual wage earners.  The need for more research to augment 
and expand the existing scientific knowledge base on child neglect provides 
the impetus for this PA.

HEALTHY PEOPLE 2010

The Public Health Service (PHS) is committed to achieving the health promotion 
and disease prevention objectives of "Healthy People 2010," a PHS led national 
activity for setting priority areas.  This Program Announcement (PA), Research 
on Child Neglect, is related to one or more of the priority areas.  Potential 
applicants may obtain a copy of "Healthy People 2010" at 
http://www.health.gov/healthypeople/.

ELIGIBILITY

Applications may be submitted by any domestic for-profit or non-profit 
organizations, public or private, such as universities, colleges, hospitals, 
laboratories, units of State and local governments, or eligible agencies of 
the Federal government.  Racial/ethnic minority individuals, women, and 
persons with disabilities are encouraged to apply as Principal Investigators. 

MECHANISM OF SUPPORT

This program announcement will use the NIH individual research project grant 
(R01) mechanism of support.  Though reviewed by NIH, some applications will be 
funded in whole or in part by one or more of the federal partners listed at 
the beginning of this program announcement, through funds transferred to NIH. 
 Submission of an application implies willingness for NIH to share the 
complete file with staff from these other federal agencies.

Research projects may include not only large scale research grants 
characteristic of more mature fields of study, but also exploratory, 
preliminary, or innovative research projects, with sound methodology and 
strong rationales, that provide a basis for future continuing or expanded 
research project applications.  Also of interest are short-term projects, 
studies submitted by less experienced investigators, and feasibility studies 
testing methods or techniques new to child neglect research.  Because the 
nature and scope of the research proposed in response to this PA will vary, it 
is anticipated that the size and length of the awards will also vary widely. 

For all competing R01 applications requesting up to $250,000 per year in 
direct costs, specific application instructions have been modified to reflect 
"MODULAR GRANT" and "JUST-IN-TIME" streamlining efforts being examined by the 
NIH. Applications that request more than $250,000 in any year must use the 
standard PHS 398 (rev. 4/98) application instructions. Complete and detailed 
instructions and information on Modular Grant applications can be found at 
http://grants.nih.gov/grants/funding/modular/modular.htm. 

Applicants from institutions that have a General Clinical Research Center 
(GCRC) funded by the NIH National Center for Research Resources, may wish to 
identify the GCRC as a resource for conducting the proposed research.  If so, 
a letter of agreement from either the GCRC program director or the principal 
investigator should be included with the application.   For information about 
the location and contact persons of the GCRCs, visit the NCRR homepage at: 
http://www.ncrr.nih.gov and click on A "Clinical Research."  

RESEARCH OBJECTIVES

Background

This initiative is responsive to the recent directive by the Committee on 
Appropriations (H.R. No. 104-659) that the NIH "convene a working group of its 
component organizations currently supporting research on child abuse and 
neglect." The NIH Child Abuse and Neglect Working Group (CANWG), was 
established in response to this mandate. The Appropriations Committee 
requested that this working group report on "current NIH research efforts in 
this area, the accomplishments of that research, and on plans for future 
coordination efforts at NIH at the fiscal 1998 hearings."  The recommendations 
for future research noted in the CANWG's subsequent1998 report were based on 
both an analysis of the NIH portfolio as well as on the 1993 National Academy 
of Sciences (NAS) report, "Understanding Child Abuse and Neglect."  The NAS 
report outlined 17 research priority areas where research was especially 
needed, including  (a) a better understanding of the nature and scope of child 
maltreatment, (b) increased knowledge about the origins and consequences of 
abuse and neglect, (c) improving treatments and prevention interventions, and 
(d) developing a science policy for research on child maltreatment. Child 
neglect was also noted as a high priority research area in the 1998 Institute 
of  Medicine  report, "Violence in Families: Assessing Prevention and 
Treatment Programs."  This PA was coordinated under the auspices of the NIH 
Child Abuse and Neglect Working Group. The content of this PA is also in line 
with the conclusions of a June 1993 National Center for Child Abuse and 
Neglect-sponsored symposium on chronic neglect, which addressed 
consensus-building on definitions, strategies for change, research, treatment, 
and policy topics (Chronic Neglect Symposium Proceedings (1993) available from 
the NCCAN Clearinghouse, 800-394-3366).

While it is difficult to make any absolute statement about the extent of child 
neglect, an ACYF survey, the "1996 Child Maltreatment Reports of the States to 
the National Child Abuse and Neglect Data System," indicated that 55% of the 
nearly one million documented cases of child maltreatment that year were cases 
of some form of neglect. This incidence figure is likely to be a significant 
underestimate. Other evidence suggests that less than half of recognized cases 
of maltreatment are actually reported to child protective services, and less 
than 20% of these cases are taken to court.  While serious neglect may 
sometimes result in foster care placement, only a minority of cases result in 
removal of the child from the home.  Interventions must therefore address the 
needs of both the child and the parents. 

Three primary forms of child neglect may be distinguished: physical neglect, 
educational neglect, and emotional neglect.  In a 1985 report, the AMA 
suggested that routine examinations may reveal many indicators of physical 
neglect, including malnutrition; low birth weight; repeated pica; constant 
fatigue; poor hygiene; persistence of treatable medical conditions; lack of 
immunizations and appropriate medications; absence of dental care; absence of 
necessary prostheses such as eyeglasses and hearing aids; preventable injuries 
(e.g., craniofacial injuries resulting from failure to wear protective 
headgear during sports); and delays in physical, language, and cognitive 
development.  Neglected children under age 3 are also at high risk for child 
fatalities. Educational neglect (e.g., ignored or permitted truancy; failure 
to enroll children in school; failure to obtain recommended remedial or 
special education services) may also be relatively easy to detect.  However, 
less readily apparent is emotional neglect, which can involve inadequate 
nurturance and affection, exposure to family violence, permitted abuse of 
drugs or alcohol, or refusal of psychological care.  Intervention may be 
particularly difficult in the vast majority of the cases where neglect is 
chronic and insidious.

In 1993, the National Academy of Science "Report on Child Abuse and Neglect" 
noted that studies of child neglect were lacking in scientific rigor, and 
relied heavily on anecdotal evidence.  Since these shortcomings remain, this 
PA is intended to encourage research on the prevalence, causes, course, and 
consequences of child neglect, as well as evaluation of interventions designed 
to prevent its occurrence, and to reverse, ameliorate, or compensate for the 
short- and long-term effects of neglect on child victims.

Research Goals and Topics

Studies responsive to this PA should focus on:  the adult caretaker and/or 
child victims of neglect; the dynamics of the relationship between caretaker 
and child; the family system in which neglect occurs; and the larger social 
contexts of neglect, such as individual or family support systems, 
socioeconomic factors, neighborhood, school, community programs and resources 
(e.g., health care providers and health care delivery systems), mandated 
community response agencies (e.g., the police or protective service agencies), 
and prosecution and judicial responses that address serious cases of neglect. 
 Multi-disciplinary approaches are encouraged.   Studies in these areas can 
include, but are not limited to:

1) Research on the antecedents of neglect, including studies of:

o individual and social risk factors for neglect, such as the influence of 
gender (mothers and mother-substitutes as primary caretakers), availability 
and quality of child care settings and providers; child disability; mental 
disorder and emotional problems (e.g., depression, loneliness), substance 
abuse, interpersonal situations, social/behavioral histories of caretakers 
(history of neglect, domestic violence, criminal activity), socioeconomic, 
family structure (e.g., single parent, alcoholic father),  parenting 
knowledge, family isolation, family conflict resolution processes, chronic 
childhood illness, child disruptive behavior problems, and child temperament

o cultural, social, religious, or ethnic differences in causes, patterns, 
and contexts of neglect, (e.g., different cultural views about behavior among 
kin, reporting of neglect, parental rights, and the definition and 
significance of neglect)

2) Research on the consequences of neglect, including studies of:
  
o the educational consequences of neglect (e.g.,  need for and access to 
special education and related services, characteristics of children who have 
been neglected in the preschool years, school-readiness,  school adaptation, 
and academic achievement of children who have suffered various degrees of 
neglect and/or environmental deprivation)

o the impact of neglect on the socio-emotional behavior of children and 
youth, (e.g.,  antisocial behavior and delinquency, status offenses, alcohol 
and drug use, risk-taking behaviors, attachment relationships, peer relations, 
social competence, self-esteem, emotional development; and adult criminality)

o the impact of neglect on short and long term health outcomes( e.g., 
SIDS, Pica, lead poisoning, anemia, AIDS, hepatitis, heart failure, asthma, 
reactive airway disease, cancer)

o prenatal and postnatal influences on the developing brain, including 
studies of  gene regulation; mechanisms of stress system activation on brain 
anatomic and functional development;  ages of vulnerability to neglect on 
brain development; role of neuroimmune and neuroendocrine influences on brain 
development as a consequence of the neglect-stress environment

o long-term neurobiological sequelae/morbidity of neglect (e.g., effect on 
immune system regulation, altered sleep patterns, changes in motor system 
activity, neurocognitive, and neuropsychiatric outcomes); factors that 
mitigate or protect the brain from adverse long-term  outcomes 

3) Research on processes and mediators accounting for or influencing the 
effects of neglect, including studies of:

o psychosocial and psychobiological mechanisms by which neglect results in 
harmful effects; the impact of neglect on individual development and progress 
during infancy, childhood, adolescence, or adulthood; processes of risk and 
resilience in neglected populations; effect of neglect on exposure to 
environmental hazards (e.g., lead poisoning) affecting health, educational, or 
emotional outcomes 

o Individual and social protective factors, (e.g., teacher, extended 
family, and other formal and informal social support; coping style; quality 
child care; community resources; special education); and subgroups of at risk 
populations

4) Neglect research on treatment, preventive intervention, and service 
delivery, including studies of:

o knowledge and behaviors of health care providers affecting early 
detection or evaluation of child neglect; development and validation of 
biomarkers, indices, or classificatory systems which aid health providers, 
teachers, or other community members recognize child neglect at earlier stages 

o theory-driven preventive strategies to reduce risk for child neglect, 
such as programs targeted toward at-risk individuals or families (e.g., early 
home visitation, parent training programs, low-income child care, family 
preservation services) as they are influenced by participant characteristics 
(e.g., poor or young mothers; child's developmental stage, individual 
cognition, coping responses, behavior patterns, substance abuse and/or 
emotional reactions of caretakers or victims), family structure, intervention 
processes, and extra-intervention factors

o early intervention as a means of preventing long-term mental, oral, and 
other health problems and disorders

o interventions tailored for use in different ethnic, social, and cultural 
groups, or different types of communities (e.g., urban versus rural)
 
o intervention models in various social and community settings for 
ameliorating the effects of deprivation on antisocial behavior, delinquency, 
and school outcomes;  the influence of setting (e.g., home, child care, 
institution, clinic, school, resource centers,  foster care, special 
education) on program participation, and outcomes

o population characteristics, societal values, or intervention components 
that may affect identification, help-seeking, or access to services; barriers 
to intervention availability, delivery, or effectiveness as a function of 
social group membership or factors in the setting (e.g., special education, 
foster care, child care, home) in which the intervention occurs
 
o different types of integration, coordination, and organization of 
services on the effectiveness of preventive and treatment strategies in real 
world settings;  the relative effectiveness of different community-level 
comprehensive service system approaches to neglect (e.g., case management 
systems, interagency panels)
 
o legal processes, protective services, and mental health services both 
separately and in combination with court-ordered interventions ( e.g., 
mandatory reporting, foster care, termination of parental rights, kinship 
care, police response and involvement) as the means of preventing or ending 
neglect, and  reversing, ameliorating, or compensating for the short- and 
long-term effects of neglect on child victims

5) Other topics/special issues, including studies of:

o issues related to specific neglect populations and their caretakers 
(e.g., co-occurrence with substance abuse, sexual or physical abuse, exposure 
to community violence, culturally/ethnically diverse samples) to determine 
similarities and differences within and across groups and their implications 
for intervention

o studies of the effect of non-residential, parental involvement as either 
a causative or preventative factor in neglect.  Involvement may take the form 
of financial support, visitation, or specific types of interactions with the 
child or residential caretaker 

o issues related to the impact of welfare reform on quality and 
availability of child care and the frequency and severity of child neglect in 
communities

o the co-occurrence of child neglect with domestic violence, including 
studies of the incidence and prevalence of child neglect in families 
experiencing domestic abuse, impact of domestic violence on parenting 
abilities and behaviors, consequences of neglect within the context of 
domestic violence, effect of court response to domestic violence, and 
effectiveness of interventions for domestic violence in reducing the risk of 
child neglect or in ameliorating its consequences

o The co-occurrence of child neglect with disabling conditions, including 
studies of neglected children with disabilities which adversely affect 
educational performance; disabilities which require special services under the 
Individuals with Disabilities Education Act; delivery of special education 
services to neglected children and youth with disabilities

o instrument development to determine the utility, reliability and 
validity of standard physical and mental health assessments when used with 
neglected children, as well as assessment of other effects of neglect (e.g., 
social attributions, world view, self-esteem)

SPECIAL REQUIREMENTS

It is anticipated that a successful grant application will address the 
following considerations (see also Chapter 3 of the 1998 Institute of Medicine 
report, "Violence in Families: Assessing Prevention and Treatment Programs," 
http://books.nap.edu/books/0309054966/html/59.html#pagetop as  a source of 
recent guidance for conducting research in this sensitive field):

Definition of the Sample and Subject Selection Criteria

The samples for study must be rigorously defined to permit complete 
independent replication at another site.  Within this context, the 
ascertainment/referral sources should be described in detail, including the 
definitions and criteria employed to identify and report child neglect.  It is 
expected that not all victims of child neglect will be identified according to 
the same definitions and criteria.  Consequently, applicants should provide 
clearly documented and operationalized definitions of the criteria employed in 
the identification of neglect.  Description of subjects as neglected according 
to vague referral sources (i.e., "agency-identified" neglect victims) is 
discouraged unless accompanied by the explicit identification criteria 
employed by the protective service agency/health care provider, etc.  Because 
state statutes vary in their criteria for designating a case as "neglected", 
applicants should also identify and discuss the effects of legal context on 
the sample selection or composition.

In addition, all study samples should be defined, to the maximum extent 
possible, with reference to age, gender, grade level (if appropriate), race, 
ethnicity, SES, geographic region, presence of disabling/handicapping 
condition, socio-emotional behavioral status (e.g., antisocial behavior, 
delinquency, alcohol and drug use, etc), caretaker status, characteristics of 
home/family environment, and primary type of neglect (physical, emotional, 
educational) and combinations of types if present.

Measurement Criteria

Interviews, surveys, questionnaires, observational measures, standardized 
measures, and other assessment procedures used for the identification of child 
neglect across physical, emotional, and academic domains must be described in 
sufficient detail to permit independent replication.   Measures with known 
reliability, validity, and appropriateness for the population under study 
should be employed when available.  If reliability and validity 
characteristics are not yet known for a particular assessment procedure, the 
application should contain specific plans for establishing these features.

Opportunities for Definition and Classification of Neglect

A critical public health task for amelioration of child neglect is the 
development of a set of operational definitions and a classification system 
for different types of neglect.  Definitional clarity and classification are 
necessary to develop prevention, early intervention, and treatment programs, 
to identify distinctions and interrelationships between types of neglect, to 
ascertain the antecedents and consequences of each neglect type, and to 
understand the relationship between each type of neglect and individual, 
familial, social, cultural, and geographic variables.  Applicants should 
consider research protocols that are capable of identifying well defined 
subgroups that exist within the neglected population.  Within this context, 
investigators may wish to cast the sampling net wide enough to ensure a 
representative number of children across physical neglect, emotional neglect, 
educational neglect, and combined neglect domains.

Secondary Data

It is acceptable to propose analyses of data collected for other purposes that 
might yield insight on neglect.  In these instances, investigators should be 
specific about how neglect is operationalized, limitations of the data, and 
how the analysis will be structured.  Investigators should also be clear when 
such analysis is descriptive or designed to model a process or test an 
hypothesis.  

Feasibility

Feasibility issues must be clearly addressed.  Plans for implementation of 
interventions should include procedures for: obtaining and maintaining the 
necessary community relations, training and supervising staff, insuring 
implementation fidelity, securing ongoing access to the subject population 
pool, recruiting a representative sample of the target population, recruiting 
minorities for the staff of the research intervention, and monitoring subject 
participation over time.

Applicants are encouraged to document the commitment, support, cooperation, 
and nature of proposed collaboration of community agencies or other entities 
or settings outside the applicant organization whose support is essential for 
the conduct of the research.
  
 Publication of Study Findings

The statutory mandate of OJJDP requires that grantees funded by that agency 
produce documents ranging from 900 to 6,000 words suitable for publication as 
OJJDP Fact Sheets or OJJDP Bulletins.  These publications are intended to 
summarize the goals and objectives of the research effort, describe the study, 
and discuss findings. 

Participation in Data Archive

Grant recipients obtaining funding from the Children's Bureau will be expected 
to conform to the data archiving requirements of these agencies.  Archiving 
requirements will be determined on a case by case basis. The Children's Bureau 
is committed to the process of secondary data analysis for the purpose of 
verification and extension of research findings. Since FY 1994, all research 
grantees funded by the National Center on Child Abuse and Neglect (NCCAN), and 
now all those funded by the Children's Bureau, have been required, as a 
condition of their award, to archive their data. Any child welfare 
investigator, regardless of the funding source, is welcome to house data with 
the National Data Archive on Child Abuse and Neglect (NDACAN).  However, grant 
recipients funded by the Children's Bureau must agree to archive their study 
data within two years of the termination of the Federal funding for the 
project.  All those who plan to house information at the Archive should notify 
their Institutional Review Board and the research participants that the data 
from the project will be archived and made available to other researchers 
after personal identifiers have been removed from the data.  Archiving will 
involve providing individual respondent data in electronic form and the 
accompanying documentation, including the codebook, the final report, and 
copies of the research instruments, as appropriate.  A manual describing the 
guidelines of the Archive, `Depositing Data with the National Data Archive on 
Child Abuse and Neglect: A Handbook for Investigators,' is available directly 
from the Archive at the Family Life Development Center, MVR Hall, Cornell 
University, Ithaca, New York 14853 (phone: 607-255-7799) from the Archive 
website at or from the National Clearinghouse on Child Abuse and Neglect 
Information (1-800-FYI-3366)."

INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of the NIH that women and members of minority groups and 
their sub-populations must be included in all NIH-supported biomedical and 
behavioral research projects involving human subjects, unless a clear and 
compelling rationale and justification are provided indicating that inclusion 
is inappropriate with respect to the health of the subjects or the purpose of 
 the research.  This policy results from the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43). 

All investigators proposing research involving human subjects should read the 
UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research," published in the NIH Guide for Grants and Contracts on 
August 2, 2000 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-048.html); a 
complete copy of the updated Guidelines are available at  
http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm:  The 
revisions relate to NIH defined Phase III clinical trials and require: a) all 
applications or proposals and/or protocols to provide a description of plans 
to conduct analyses, as appropriate, to address differences by sex/gender 
and/or racial/ethnic groups, including subgroups if applicable; and b) all 
investigators to report accrual, and to conduct and report analyses, as 
appropriate, by sex/gender and/or racial/ethnic group differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of NIH that children (i.e., individuals under the age of 21) 
must be included in all human subjects research, conducted or supported by the 
NIH, unless there are scientific and ethical reasons not to include them.  
This policy applies to all initial (Type 1) applications submitted for receipt 
dates after October 1, 1998.

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines on the Inclusion of Children as Participants in 
Research Involving Human Subjects" that was published in the NIH Guide for 
Grants and Contracts, March 6, 1998, and is available at the following URL 
address: http://grants.nih.gov/grants/guide/notice-files/not98-024.html

Investigators also may obtain copies of these policies from the program staff 
listed under INQUIRIES.  Program staff may also provide additional relevant 
information concerning the policy.

URLS IN NIH GRANT APPLICATIONS OR APPENDICES

All applications and proposals for NIH funding must be self-contained within 
specified page limitations.  Unless otherwise specified in an NIH 
solicitation, Internet addresses (URLs) should not be used to provide 
information necessary to the review because reviewers are under no obligation 
to view the Internet sites.  Reviewers are cautioned that their anonymity may 
be compromised when they directly access an Internet site.

APPLICATION PROCEDURES

Applications are to be submitted on the grant application form PHS 398 (rev. 
4/98) and will be accepted at the standard application deadlines as indicated 
in the application kit.  Application kits are available at most institutional 
offices of sponsored research and may be obtained from the Division of  
Extramural Outreach and Information Resources, National Institutes of Health, 
6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 
301/435-0714, email: GrantsInfo@nih.gov.

To identify the application as a response to this Program Announcement, check 
"YES" on item 2a of page 1 of the application and enter "PA-01-001, ARESEARCH 
ON CHILD NEGLECT."

Applicants planning to submit an investigator-initiated new (type 1), 
competing continuation (type 2), competing supplement, or any amended/revised 
version of the preceding grant application types requesting $500,000 or more 
in direct costs for any year are advised that he or she must contact the 
Institute or Center (IC) program staff before submitting the application, 
i.e., as plans for the study are being developed.  Furthermore, the 
application must obtain agreement from the IC staff that the IC will accept 
the application for consideration for award.  Finally, the applicant must 
identify, in a cover letter sent with the application, the staff member and 
Institute or Center who agreed to accept assignment of the application.  This 
policy requires an applicant to obtain agreement for acceptance of both any 
such application and any such subsequent amendment.  Refer to the NIH Guide 
for Grants and Contracts, March 20, 1998 at 
http://grants.nih.gov/grants/guide/notice-files/not98-030.html

SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS

The modular grant concept establishes specific modules in which direct costs 
may be requested as well as a maximum level for requested budgets. Only 
limited budgetary information is required under this approach.  The 
just-in-time concept allows applicants to submit certain information only when 
there is a possibility for an award. It is anticipated that these changes will 
reduce the administrative burden for the applicants, reviewers and Institute 
staff.  The research grant application form PHS 398 (rev. 4/98) is to be used 
in applying for these grants, with the modifications noted below.

BUDGET INSTRUCTIONS

Modular Grant applications will request direct costs in $25,000 modules, up to 
a total direct cost request of $250,000 per year. (Applications that request 
more than $250,000 direct costs in any year must follow the traditional PHS 
398 application instructions.)  The total direct costs must be requested in 
accordance with the program guidelines and the modifications made to the 
standard PHS 398 application instructions described below:

PHS 398
o FACE PAGE: Items 7a and 7b should be completed, indicating Direct Costs (in 
$25,000 increments up to a maximum of $250,000) and Total Costs [Modular Total 
Direct plus Facilities and Administrative  (F&A) costs] for the initial budget 
period.  Items 8a and 8b should be completed indicating the Direct and Total 
Costs for the entire proposed period of support.

o DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD - Do not complete Form Page 4 
of the PHS 398. It is not required and will not be accepted with the 
application.

o BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT - Do not complete the 
categorical budget table on Form Page 5 of the PHS 398. It is not required and 
will not be accepted with the application.

o NARRATIVE BUDGET JUSTIFICATION - Prepare a Modular Grant Budget Narrative 
page. (See http://grants.nih.gov/grants/funding/modular/modular.htm for sample 
pages.) At the top of the page, enter the total direct costs requested for 
each year.  This is not a Form page.

o Under Personnel, List all project personnel, including their names, percent 
of effort, and roles on the project. No individual salary information should 
be provided. However, the applicant should use the NIH appropriation language 
salary cap and the NIH policy for graduate student compensation in developing 
the budget request.

For Consortium/Contractual costs, provide an estimate of total costs (direct 
plus facilities and administrative) for each year, each rounded to the nearest 
$1,000. List the individuals/organizations with whom consortium or contractual 
arrangements have been made, the percent effort of all personnel, and the role 
on the project. Indicate whether the collaborating institution is foreign or 
domestic. The total cost for a consortium/contractual arrangement is included 
in the overall requested modular direct cost amount.  Include the Letter of 
Intent to establish a consortium.

Provide an additional narrative budget justification for any variation in the 
number of modules requested.

o BIOGRAPHICAL SKETCH - The Biographical Sketch provides information used by 
reviewers in the assessment of each individual's qualifications for a specific 
role in the proposed project, as well as to evaluate the overall 
qualifications of the research team. A biographical sketch is required for all 
key personnel, following the instructions below. No more than three pages may 
be used for each person. A sample biographical sketch may be viewed at:  
http://grants.nih.gov/grants/funding/modular/modular.htm

- Complete the educational block at the top of the form page;
- List position(s) and any honors;
- Provide information, including overall goals and responsibilities, on 
research projects ongoing or completed during the last three years.
- List selected peer-reviewed publications, with full citations;

o CHECKLIST - This page should be completed and submitted with the 
application. If the F&A rate agreement has been established, indicate the type 
of agreement and the date. All appropriate exclusions must be applied in the 
calculation of the F&A costs for the initial budget period and all future 
budget years.

o The applicant should provide the name and phone number of the individual to 
contact concerning fiscal and administrative issues if additional information 
is necessary following the initial review. 

The title and number of the program announcement must be typed on line 2 of 
the face page of the application form and the YES box must be marked.

Submit a signed, typewritten original of the application, including the 
Checklist, and five signed photocopies in one package to:

CENTER FOR SCIENTIFIC REVIEW
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, ROOM 1040, MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)

REVIEW CONSIDERATIONS

Applications will be assigned on the basis of established PHS referral 
guidelines and will be reviewed for completeness by the Center for Scientific 
Review.  Applications will be evaluated for scientific and technical merit by 
an appropriate scientific review group convened in accordance with the 
standard NIH peer review procedures.  As part of the initial merit review, 
all applications will receive a written critique and undergo a process in 
which only those applications deemed to have the highest scientific merit, 
generally the top half of applications under review, will be discussed, 
assigned a priority score, and receive a second level review by the 
appropriate national advisory council or board.

Review Criteria

The goals of NIH-supported research are to advance the understanding of  
biological systems, improve the control of disease, and enhance health.  In 
the written comments, reviewers will be asked to discuss the following aspects 
of the application in order to judge the likelihood that the proposed research 
will have a substantial impact on the pursuit of these goals.  Each of these 
criteria will be addressed and considered in assigning the overall score, 
weighting them as appropriate for each application.  Note that the application 
does not need to be strong in all categories to be judged likely to have major 
scientific impact and thus deserve a high priority score.  For example, an 
investigator may propose to carry out important work that by its nature is not 
innovative but is essential to move a field forward.

(1) Significance:  Does this study address an important problem?  If the aims 
of the application are achieved, how will scientific knowledge be advanced?  
What will be the effect of these studies on the concepts or methods that drive 
this field?

(2) Approach:  Are the conceptual framework, design, methods, and analyses 
adequately developed, well-integrated, and appropriate to the aims of the 
project?  Does the applicant acknowledge potential problem areas and consider 
alternative tactics?

(3) Innovation:  Does the project employ novel concepts, approaches, or 
methods?  Are the aims original and innovative?  Does the project challenge 
existing paradigms or develop new methodologies or technologies?

(4) Investigator:  Is the investigator appropriately trained and well suited 
to carry out this work?  Is the work proposed appropriate to the experience 
level of the principal investigator and other researchers (if any)?

(5) Environment:  Does the scientific environment in which the work will be 
done contribute to the probability of success?  Do the proposed experiments 
take advantage of unique features of the scientific environment or employ 
useful collaborative arrangements?  Is there evidence of institutional 
support?

In addition to the above criteria, in accordance with NIH policy, all 
applications will also be reviewed with respect to the following:

o  The adequacy of plans to include both genders, minorities and their 
subgroups, and children as appropriate for the scientific goals of the 
research.  Plans for the recruitment and retention of subjects will also be 
evaluated.

o  The reasonableness of the proposed budget and duration in relation to the 
proposed research.

o  The adequacy of the proposed protection for humans, animals, or the 
environment, to the extent they may be adversely affected by the project 
proposed in the application.

AWARD CRITERIA

The Institute will notify the applicant of the Advisory Board or Council's 
action shortly after its meeting.  Funding decisions will be made based on the 
recommendations of the initial review group and Advisory Council/Board, and 
the availability of funds.

INQUIRIES

Written, electronic mail, and telephone inquiries concerning this program 
announcement are strongly encouraged, especially during the planning phase of 
the application.  Below is a listing of each Institute's program contacts.

Cheryl A. Boyce, Ph.D.
National Institute of Mental Health
6001 Executive Blvd. Rm. 6200, MSC 9617
Bethesda, MD  20892-9617
Phone: (301) 443-0848 
Fax:  (301) 480-4415
E-Mail: cboyce@nih.gov

Margaret Feerick, Ph.D.
National Institute of Child Health and Human Development
6100 Executive Blvd., Rm. 4B05, MSC 7510
Bethesda, MD 20892-7510
Phone: 301-435-6882
Fax: 301-480-7773
Email: feerickm@mail.nih.gov

Vince Smeriglio, Ph.D.
National Institute on Drug Abuse
6001 Executive Boulevard, Room 5198, MSC 9593
Bethesda, MD 20892-9589
Telephone:  (301) 443-1801
Email: vsmerigl@nida.nih.gov

Susan Martin, Ph.D.
National Institute on Alcohol Abuse and Alcoholism 
Suite 505 Willco Bldg. 
6000 Executive Blvd. Rockville MD 20892 
Phone:  301-443-8767 
Fax:      301-443-8774 
E-mail:  smartin@willco.niaaa.nih.gov 

Patricia S. Bryant, Ph.D.
National Institute of Dental and Craniofacial Research
45 Center Drive, Room 4AN-24E
Phone: (301) - 594-2095 
Fax:  (301)-480-8318
E-mail: BryantP@de45.nidr.nih.gov

Deborah Hirtz, M.D.
National Institute of Neurological Disorders and Stroke
6001 Executive Blvd., Room 2212
Rockville, MD 20852-9527
Phone: 301-496-5821
Fax: 301-402-0887
E-mail: hirtzd@ninds.nih.gov

For substantive (non-procedural) inquiries only: 

Catherine Nolan
Office of Child Abuse and Neglect
Children's Bureau/Administration on Children, Youth and Families
 330 C St. SW, Room 2419
Washington DC 20447
Phone: 202-260-5140
Fax: 202-401-5917
E-mail: cnolan@acf.dhhs.gov

Karen R. Stern, Ph.D.
Research and Program Development Division
Office of Juvenile Justice and Delinquency Prevention (OJJDP)
810 7th Street, NW
Washington, DC  20531
Phone: 202-514-9395
Fax:  202-353-9096
E-mail: sternk@ojp.usdoj.gov

Kelly Henderson, Ph.D.
Office of Special Education Programs
U.S. Department of Education
4626 Switzer Building
330 C Street SW
Washington, DC 20202-2731
Phone: 202-205-8598
Fax: 202-205-8971
Email: Kelly_Henderson@ed.gov

Direct inquiries regarding fiscal matters to:

Linda Hilley 
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Blvd. (suite 504)
Rockville, MD 20892 
Phone:  301-443-4704  
Fax:  301-443-3891 
E-mail: lhilley@willco.niaaa.nih.gov 

Edgar D. Shawver
National Institute of Child Health and Human Development
Building 6100, Room 8A01 
9000 Rockville Pike MSC 7510
Bethesda, MD 20892-7510
Phone:  301-496-1303 
Fax:   301-402-0915
E-mail: ds117g@nih.gov

Martin R. Rubinstein
National Institute of Dental and Craniofacial Research
45 Center Drive, Room 4An-44`
Bethesda, Md 20892-4800
Phone: (301) 594-4800
Fax: (301) 480-8301
E-mail: RubinsteinM@de45.nidr.nih.gov

Jack R. Manischewitz, PhD
National Institute on Drug Abuse
6001 Executive Blvd, Room 3131, MSC 9541
Bethesda, MD 20892-9541
301-443-6710 (Phone)
301-443-6847 (Fax)
jm198m@nih.gov (E-mail)

Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD  20892-9605
Telephone: (301) 443-2805
FAX:  (301) 443-6885
Email:  Diana_Trunnell@nih.gov

Gladys Melendez-Bohler
Grants Management Branch
National Institute of Neurological Disorders and Stroke
6001 Executive Blvd., Room 3290
Rockville, MD 20852-9527
Phone: 301-496-9231
Fax: 301-402-0219
E-mail: gb13fy@ninds.nih.gov 

AUTHORITY AND REGULATIONS

This program is described in the Catalog of Federal Domestic Assistance, 
Numbers 93.273 (NIAAA), 93.865 (NICHD), 93.279 (NIDA); 93.121 (NIDCR), 93.242 
(NIMH), 93.853 (NINDS), 93.670 (ACYF); and 84.329 (OSEP-ED).  Awards are made 
under authorization of the Public Health Service Act, Title IV, Part A (Public 
Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and 
administered under NIH grants policies and Federal Regulations 42 CFR 52 and 
45 CFR 74 and 92. This program is not subject to the intergovernmental review 
requirements of Executive order 12372, or Health Systems Agency Review. 

The PHS strongly encourages all grant and contract recipients to provide a 
smoke-free workplace and promote the nonuse of all tobacco products.  In 
addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking 
in certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.


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