NIDA SMALL GRANTS PROGRAM
RELEASE DATE: September 25, 2002
PA NUMBER: PA-02-170 (see Notice of Inactivation NOT-DA-03-003)
EXPIRATION DATE: September 30, 2005, unless reissued.
National Institute on Drug Abuse (NIDA)
THIS PROGRAM ANNOUNCEMENT (PA) CONTAINS THE FOLLOWING INFORMATION
o Purpose of the PA
o Research Objectives
o Mechanism of Support
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Submitting an Application
o Peer Review Process
o Review Criteria
o Award Criteria
o Required Federal Citations
PURPOSE OF THIS PA
This announcement updates and replaces PAR-00-059, NIDA Small Grants Program,
published in the NIH Guide for Contracts and Grants, February 10, 2000. NIDA
provides research support of up to $50,000 per year (direct costs) for up to two
years in order to conduct research relevant to any area of NIDA's programmatic
The small grants program accepts applications that fall within any of the
scientific program interests of NIDA. This includes a wide variety of
biomedical, biobehavioral, clinical, health services, epidemiological,
behavioral, and prevention research areas relevant to the study of drug abuse or
addiction processes. It is not necessary that drugs of abuse be studied
directly or that drug abusing populations be included, but the relevance of the
research to drug abuse or drug addiction should be clearly established in the
application. Potential investigators should contact the staff listed in the
Inquiries section of this announcement in order to determine if their research
is relevant to a NIDA program area. Applications not relevant to NIDA program
areas will be returned without review.
In addition to the scientific priorities of NIDA, program priorities under this
small grants program include:
1. Newer, less experienced investigators.
2. Investigators at institutions without well-developed research traditions and
3. More experienced investigators for exploratory studies, which represent a
significant change in research direction for them.
4. More experienced investigators for testing new methods or techniques.
Applications that fit one of these priority categories (1 through 4 above)
should include an introductory paragraph in the research plan section of the
application identifying which priority category is relevant and providing
explicit justification for its applicability. If the application does not fall
into any of the priority categories, this should be stated.
MECHANISM OF SUPPORT
This PA will use the National Institutes of Health (NIH) small grant (R03) award
mechanism. Support may be requested for up to two years at $50,000 per year in
direct costs, plus allowable indirect costs. It is not renewable. A no-cost
extension of up to one year may be granted to the grantee institution prior to
expiration of the project period. Support for subsequent years may be requested
through the regular research grant program. All format specifications should be
included in the PA.
This PA uses just-in-time concepts. It also uses the modular budgeting format.
You may submit (an) application(s) if your institution has any of the following
o For-profit or non-profit organizations
o Public or private institutions, such as universities, colleges, hospitals, and
o Units of State and local governments
o Eligible agencies of the Federal government
o Faith-based or community based organizations
Foreign institutions are not eligible for this award.
INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS
Any individual with the skills, knowledge, and resources necessary to carry out
the proposed research is invited to work with their institution to develop an
application for support. Individuals from underrepresented racial and ethnic
groups as well as individuals with disabilities are always encouraged to apply
for NIH programs.
The award may not be renewed after an initial period of funding, which may be up
to two years.
Small grant support may not be used to supplement research projects already
being supported or to provide interim support of projects under review by the
Public Health Service. Simultaneous submissions of both a small and regular
research grant application on the same topic will not be accepted. Small grant
support may not be requested for thesis or dissertation research, except that
certain types of dissertation research, as well as other special programmatic
initiatives, use the R03 mechanism exclusively. Information on those
initiatives may be found at: http://www.nida.nih.gov/, then
WHERE TO SEND INQUIRIES
We encourage your inquiries concerning this PA and welcome the opportunity to
answer questions from potential applicants. Inquiries may fall into two areas:
scientific/research and financial or grants management issues:
o Direct your questions about scientific/research issues to:
Division of Epidemiology, Services and Prevention Research, MSC 9589
Kathleen Etz, Ph.D.
Telephone: (301) 402-1749
Division of Treatment Research and Development, MSC 9551
Jamie Biswas, Ph.D.
Telephone: (301) 443-8096
Division of Neuroscience and Behavioral Research, MSC 9555
Beth Babecki, MA
Telephone: (301) 443-1887
Center on AIDS and Other Medical Consequences of Drug Abuse, MSC 9593
Paul Coulis, Ph.D.
Telephone: (301) 443-2105
o Direct your questions about financial or grants management matters to:
Gary Fleming, J.D., M.A.
Chief, Grants Management Branch, MSC 9541
Telephone: (301) 443-6710
The mailing address for above staff is: National Institute on Drug Abuse, 6001
Executive Boulevard, Bethesda, MD 20892
SUBMITTING AN APPLICATION
Applications must be prepared using the PHS 398 research grant application
instructions and forms (rev. 5/2001). The PHS 398 is available at
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive
format. For further assistance contact GrantsInfo, Telephone (301) 435-0714,
The title and number of the program announcement must be typed in Section 2 on
the face page of the application.
The application must be completed according to the instructions accompanying the
form PHS 398, with two exceptions: (1) The narrative portion of the small grant
application that describes the research plan (Items a-d) may not exceed 10 pages
of text; and (2) An introductory paragraph to the research plan should identify
which of the four priority categories listed in the beginning of this program
announcement applies and provide an explanation of how that priority category
applies, or a statement that the application does not fit one of the categories
should be included.
APPLICATION RECEIPT DATES: Applications submitted in response to this program
announcement will be accepted at the standard application deadlines, which are
available at http://grants.nih.gov/grants/dates.htm. Application deadlines are
also indicated in the PHS 398 application kit.
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS: Applications requesting up
to $50,000 per year in direct costs must be submitted in a modular grant format.
The modular grant format simplifies the preparation of the budget in these
applications by limiting the level of budgetary detail. Applicants request
direct costs in $25,000 modules. Section C of the research grant application
instructions for the PHS 398 (rev. 5/2001) at
http://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step
guidance for preparing modular grants. Additional information on modular grants
is available at http://grants.nih.gov/grants/funding/modular/modular.htm.
SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of the
application, including the checklist, and five signed photocopies in one package
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)
APPLICATION PROCESSING: Applications must be received by or mailed on or before
the receipt dates described at
http://grants.nih.gov/grants/funding/submissionschedule.htm. The CSR will not
accept any application in response to this PA that is essentially the same as
one currently pending initial review unless the applicant withdraws the pending
application. The CSR will not accept any application that is essentially the
same as one already reviewed. This does not preclude the submission of a
substantial revision of an application already reviewed, but such application
must include an Introduction addressing the previous critique.
PEER REVIEW PROCESS
Applications submitted for this PA will be assigned on the basis of established
PHS referral guidelines. An appropriate scientific review group convened in
accordance with the standard NIH peer review procedures
(http://www.csr.nih.gov/refrev.htm) will evaluate applications for scientific
and technical merit.
As part of the initial merit review, all applications will:
o Receive a written critique
o Undergo a selection process in which only those applications deemed to have
the highest scientific merit, generally the top half of applications under
review, will be discussed and assigned a priority score
o Receive a second level review by the National Advisory Council on Drug Abuse
The goals of NIH-supported research are to advance our 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
your application in order to judge the likelihood that the proposed research
will have a substantial impact on the pursuit of these goals:
The scientific review group will address and consider each of these criteria in
assigning your application's overall score, weighting them as appropriate for
each application. Your 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, you 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
(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
(3) INNOVATION: Does the project employ novel concepts, approaches or method?
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?
ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, your application
will also be reviewed with respect to the following:
PROTECTIONS: 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.
INCLUSION: The adequacy of plans to include subjects from both genders, all
racial and ethnic groups (and subgroups), and children as appropriate for the
scientific goals of the research. Plans for the recruitment and retention of
subjects will also be evaluated. (See Inclusion Criteria included in the section
on Federal Citations, below)
BUDGET: The reasonableness of the proposed budget and the requested period of
support in relation to the proposed research.
In applying the above criteria, reviewers take into consideration the
stage of scientific career development of the Principal Investigator and the
purpose of the proposed research. For example, some studies may not require
extensive preliminary data, while pilot data may be appropriate for other
Applications submitted in response to a PA will compete for available funds with
all other recommended applications. The following will be considered in making
o Scientific merit of the proposed project as determined by peer review
o Availability of funds
o Relevance to program priorities
In addition, Institute staff will consider the reviewers' evaluation of the
justification for the small grant priority category. While this program
announcement does not specially exclude applications that do not fall into one
of the priority categories, applications that are in these areas will be given
priority in funding. Accordingly, applicants not designating a priority
category are advised to consider applying for regular research grants or grants
under other mechanisms even if they are requesting support that is within the
small grant program dollar and time limits.
REQUIRED FEDERAL CITATIONS
MONITORING PLAN AND DATA SAFETY AND MONITORING BOARD: Research components
involving Phases I and II clinical trials must include provisions for assessment
of patient eligibility and status, rigorous data management, quality assurance,
and auditing procedures. In addition, it is NIH policy that all clinical trials
require data and safety monitoring, with the method and degree of monitoring
being commensurate with the risks (NIH Policy for Data Safety and Monitoring,
NIH Guide for Grants and Contracts, June 12, 1998:
INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: 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 clinical research projects unless a clear and
compelling justification is 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
All investigators proposing clinical research should read the AMENDMENT "NIH
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical
Research - Amended, October, 2001," published in the NIH Guide for Grants and
Contracts on October 9, 2001
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete
copy of the updated Guidelines are available at
The amended policy incorporates: the use of an NIH definition of clinical
research; updated racial and ethnic categories in compliance with the new OMB
standards; clarification of language governing NIH-defined Phase III clinical
trials consistent with the new PHS Form 398; and updated roles and
responsibilities of NIH staff and the extramural community. The policy
continues to require for all NIH-defined Phase III clinical trials that: a) all
applications or proposals and/or protocols must 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)
investigators must report annual accrual and progress in conducting analyses,
as appropriate, by sex/gender and/or racial/ethnic group differences.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: The
NIH maintains a policy 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 is available at
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: NIH policy
requires education on the protection of human subject participants for all
investigators submitting NIH proposals for research involving human subjects.
You will find this policy announcement in the NIH Guide for Grants and
Contracts Announcement, dated June 5, 2000, at
HIV/AIDS COUNSELING AND TESTING POLICY FOR THE NATIONAL INSTITUTE ON DRUG ABUSE:
Researchers funded by NIDA who are conducting research in community outreach
settings, clinical, hospital settings, or clinical laboratories and have ongoing
contact with clients at risk for HIV infection, are strongly encouraged to
provide HIV risk reduction education and counseling. HIV counseling should
include offering HIV testing available on-site or by referral to other HIV
testing services. Persons at risk for HIV infection including injecting drug
users, crack cocaine users, and sexually active drug users and their sexual
partners. For more information see
NATIONAL ADVISORY COUNCIL ON DRUG ABUSE RECOMMENDED GUIDELINES FOR THE
ADMINISTRATION OF DRUGS TO HUMAN SUBJECTS: The National Advisory Council on
Drug Abuse recognizes the importance of research involving the administration of
drugs to human subjects and has developed guidelines relevant to such research.
Potential applicants are encouraged to obtain and review these recommendations
of Council before submitting an application that will administer compounds to
human subjects. The guidelines are available on NIDA's Home Page at
www.nida.nih.gov under the Funding, or may be obtained by calling (301) 443-
HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of research on
hESCs can be found at http://grants.nih.gov/grants/stem_cells.htm and at
research using hESC lines that are registered in the NIH Human Embryonic Stem
Cell Registry will be eligible for Federal funding (see http://escr.nih.gov).
It is the responsibility of the applicant to provide the official NIH
identifier(s)for the hESC line(s)to be used in the proposed research.
Applications that do not provide this information will be returned without
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The
Office of Management and Budget (OMB) Circular A-110 has been revised to
provide public access to research data through the Freedom of Information Act
(FOIA) under some circumstances. Data that are (1) first produced in a project
that is supported in whole or in part with Federal funds and (2) cited publicly
and officially by a Federal agency in support of an action that has the force
and effect of law (i.e., a regulation) may be accessed through FOIA. It is
important for applicants to understand the basic scope of this amendment. NIH
has provided guidance at
Applicants may wish to place data collected under this PA in a public archive,
which can provide protections for the data and manage the distribution for an
indefinite period of time. If so, the application should include a description
of the archiving plan in the study design and include information about this in
the budget justification section of the application. In addition, applicants
should think about how to structure informed consent statements and other human
subjects procedures given the potential for wider use of data collected under
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. Furthermore, we
caution reviewers that their anonymity may be compromised when they directly
access an Internet site.
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 PA 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.
AUTHORITY AND REGULATIONS: This program is described in the Catalog of Federal
Domestic Assistance No. 93.279, and is not subject to the intergovernmental
review requirements of Executive Order 12372 or Health Systems Agency review.
Awards are made under authorization of Sections 301 and 405 of the Public Health
Service Act as amended (42 USC 241 and 284) and administered under NIH grants
policies described at http://grants.nih.gov/grants/policy/policy.htm and under
Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92.
The PHS strongly encourages all grant recipients to provide a smoke-free
workplace and discourage the use 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
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
Department of Health
and Human Services
National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892