Full Text PAR-96-016 GRANTS FOR HEALTH SERVICES DISSERTATION RESEARCH NIH GUIDE, Volume 25, Number 1, January 26, 1996 PA NUMBER: PAR-96-016 P.T. 34 Keywords: Health Services Delivery 0730021 Health Care Economics Agency for Health Care Policy and Research Application Receipt Dates: May 1 and November 15 annually PURPOSE The Agency for Health Care Policy and Research (AHCPR) was established to improve the quality, appropriateness, and effectiveness of health care services and access to these services. These purposes are achieved by supporting research and by promoting improvements in clinical practice and in the organization, financing, and delivery of health care services. The AHCPR announces the small grant program for Health Services Dissertation Research, which supports research undertaken as part of an academic program to qualify for a doctorate. Through this support AHCPR seeks to expand the number of researchers who study health care systems and the cost, quality, and impact of health care services. Applications are accepted from students seeking a doctorate in disciplines relevant to health services research. Total direct costs, under this announcement, must not exceed $30,000 for the entire project period. This announcement supersedes "Grants for Health Services Dissertation Research," HS-95-002, published in the NIH Guide, August 19, 1994. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. AHCPR encourages applicants to conduct research that addresses these objectives. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402- 9325, telephone 202-783-3238. ELIGIBILITY REQUIREMENTS A student enrolled in a doctoral program in a research discipline which requires a dissertation based on original research may apply for support to complete the research and dissertation. In order to be eligible, the dissertation must be a crucial and major part of the training program. To qualify for an award under this program the dissertation must examine some aspect of the health care system. AHCPR will determine whether an application is eligible for support. The proposed Principal Investigator must be a registered doctoral candidate in resident or nonresident status. All requirements for the doctoral degree other than the dissertation must be completed by the time of the award. Usually awards are announced three months after receipt of the application. Prior to submission of the application, the dissertation proposal must be approved by the dissertation faculty committee and certified by the faculty advisor. This information must be verified in a letter of certification from the thesis chairperson and submitted with the grant application (see APPLICATION PROCEDURES). The applicant may be either the public or private nonprofit institution that will administer the grant on behalf of the proposed Principal Investigator or the proposed Principal Investigator applying as an individual. AHCPR encourages women, members of minority groups, and persons with disability to submit applications. A proposed Principal Investigator for dissertation research grant support need not be a citizen of the United States. However, an investigator who is not a U.S. citizen and does not have a permanent resident visa must apply through a public or private nonprofit institution. Also, an application from a student enrolled in a foreign institution will be accepted if the application is in English and the investigator applies through the institution. The proposed investigator who receives support for dissertation research under a grant from the AHCPR may not at the same time receive support under a predoctoral training grant or fellowship grant awarded by AHCPR or any other agency of the U.S. Department of Health and Human Services. MECHANISM OF SUPPORT This Program Announcement (PA) will employ the small research grant (R03) mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the proposed Principal Investigator (the doctoral candidate). The total direct costs must not exceed $30,000 for the entire project period. An application that exceeds this amount will be returned to the applicant. No supplemental funds will be awarded. The proposed Principal Investigator may request support only for the amount of time necessary to complete the dissertation. A dissertation research grant usually is awarded for a period of 12 months or less, but may be awarded for up to 17 months. FUNDS AVAILABLE The AHCPR sets aside funds each year for the Dissertation Research Program. In general, AHCPR makes about 15 dissertation research grants per fiscal year (October 1 to September 30). The number of awards will be contingent on the availability of funds and the quality of the applications. Approximately one-half of the planned number of awards will be given in each receipt/review cycle. RESEARCH OBJECTIVES Background The Agency for Health Care Policy and Research (AHCPR) was established by Congress in 1989 to improve the quality, appropriateness, and effectiveness of health care services and access to such services. Title IX of the Public Health Service Act gives AHCPR flexibility in making small grants. AHCPR uses this small grant authority to support three kinds of activities: conferences, doctoral dissertations, and small research projects. Purpose and Scope of Activity This Announcement describes the small grant program for Health Services Dissertation Research. Applicants for dissertation research must propose topics in subject areas AHCPR is authorized to study. In general, AHCPR supports studies that deal with the way health care is organized, produced, used, and financed. Pertinent topics include the use of medical technology, facilities, and equipment; the cost, effectiveness, outcomes, and quality of health care; the care of underserved populations; and the structure, content, and consequences of clinical practice. Students seeking a doctorate in any relevant research discipline are eligible. SPECIAL REQUIREMENTS Allowable Costs Expenses allowed under the AHCPR Health Services Dissertation Research program follow the guidelines described in the Application for a Public Health Service (PHS) Grant. Allowable costs include: the investigator's salary; direct project expenses such as travel, data processing, and supplies. Fees for maintaining matriculation or other fees imposed on those preparing dissertations are allowable costs, provided the fees are required of all students of similar standing, regardless of the source of funding. Applicants are expected to work full time on the project. Any level of effort that is less than full time must be fully justified. Applicants applying through institutions receive indirect costs in addition to the direct costs of the project. For the purpose of calculating indirect costs, dissertation research grants are considered to be training grants. Therefore, in accordance with PHS policy, indirect costs, payable only when the applicant is an institution, are limited to eight percent of total allowable direct costs exclusive of tuition and related fees and expenditures for equipment, or at the institution's actual indirect cost rate, whichever results in a lesser dollar amount. Other Conditions The following conditions apply to dissertation grants: o A Principal Investigator who discontinues or suspends a project during the grant period must inform the AHCPR immediately in writing. The AHCPR may suspend or terminate the grant as requested by the Principal Investigator or on its own initiative. o The dissertation constitutes the final report of the grant. The dissertation must be officially accepted by the faculty committee or university official responsible for the candidate's dissertation and must be signed by the responsible officials. Three copies of the dissertation must be submitted to the AHCPR. o The dissertation and all financial status reports must be submitted in English. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH STUDY POPULATIONS INVOLVING HUMAN SUBJECTS It is the policy of AHCPR that women and members of minority groups be included in all AHCPR supported research projects involving human subjects, unless a clear and compelling rationale and justification are provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. The NIH policy resulting from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43) supersedes and strengthens NIH's previous policies (Concerning the Inclusion of women in Study Populations, and Concerning the Inclusion of Minorities in Study Populations), which were in effect since 1990 and which AHCPR had adopted. The new NIH policy contains provisions that are substantially different from the 1990 policies. All investigators proposing research involving human subjects should read the "NIH Guidelines on the Inclusion of Women and Minorities as Subjects in Clinical Research," which was published in the Federal Register of March 28, 1994 (FR 59 14508-14513), and printed in the NIH GUIDE FOR GRANTS AND CONTRACTS of March 11, 1994, Volume 23, Number 10. AHCPR follows the revised NIH Guidelines, as applicable. Applicants may obtain copies of the Guidelines from those sources listed above or from the AHCPR contractor, Global Exchange, listed under APPLICATION PROCEDURES. AHCPR program staff may also provide information concerning this policy (See INQUIRIES). APPLICATION PROCEDURES The application receipt dates for 1996 are May 1, and November 15 annually. Applications received after these dates will be returned to applicants. Applications will be eligible for support only during the round for which they are submitted. No application can be submitted more than once even in revised form. The research grant application form PHS 398 (rev. 5/95) is to be used in applying for these grants. State and local government applicants may use form PHS-5161-1, Application for Federal Assistance (rev. 9/92), and follow those requirements for copy submission. These forms are available at most institutional offices of sponsored research and may be obtained from the Office of Grants Information, Division of Research Grants, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email: girg@drgpo.drg.nih.gov. AHCPR applicants are encouraged to obtain application materials from the AHCPR contractor, Global Exchange, Inc., 7910 Woodmont Avenue, Suite 400, Bethesda, MD 20814-3015; telephone 301/656-3100 or FAX 301/652-5264. Mark the "Yes" box and enter "AHCPR Dissertation Program" in Section 2a on the face page of the application. Submit a signed, typewritten original of the application, including the Checklist, and five signed photocopies, in one package to: Small Grants Program: Dissertation Research Agency for Health Care Policy and Research 2101 East Jefferson Street Suite 400 Rockville, MD 20852 An application that does not conform to the instructions in this PA will be returned. Special Instructions Whenever feasible, the proposed Principal Investigator for a dissertation grant is encouraged to have the application administered through an institution. This may be either the degree-granting institution or another non-profit institution with which the proposed Principal Investigator is professionally affiliated. In determining which institution is more appropriate, the student must consider the extent to which the resources of the designated institution are capable of supporting the proposed research effort. Applicants must follow the instructions in the research grant application form 398 in preparing the application with the following changes: o The graduate student should be identified as the Principal Investigator. o The section entitled Research Plan may not exceed 20 pages. A questionnaire may be included as an appendix if it is essential to evaluate the proposal. No other material should be provided in an appendix. A list of literature cited is required, and is not included in the 20 page limit. o 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 certify that (1) the committee has approved the formal proposal for the dissertation, (2) the grant application represents the dissertation proposal, and (3) the applicant will complete all requirements for the doctoral degree except the dissertation by the anticipated date of the grant award. o The application must identify all members of the faculty committee by listing the names on Form BB. A brief biographical sketch for each should be provided as explained in form 398, page FF. o Applicants should give special care to the sections of the application dealing with human subjects protection and gender and minority representation. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness and relevance to the AHCPR mission by staff. Incomplete applications and applications proposing research in areas outside the mission of the Agency will be returned to the applicant without further consideration. AHCPR Dissertation applications typically will be evaluated for scientific and technical merit by three experts, in accordance with AHCPR small grant peer review procedures. Those reviewers are selected on the basis of knowledge and expertise in areas germane to the application. Federal reviewers may be used when the expertise of a Federal employee is consistent with the science and topic of an application. General Review Criteria Review criteria for AHCPR dissertation research applications are: o Significance and originality of the research. o Knowledge of research relevant to the topic. o Appropriateness of methods and data, including a description and justification of the analytic techniques that will be employed and a discussion of the methodological problems that might be encountered. o Availability and adequacy of data. o Organization of the project. o Adequacy of facilities and resources. o Human subjects involvement and protection (when appropriate). o Representation of women and minorities (when appropriate). o Appropriateness of the budget. In evaluating applications and making recommendations reviewers try to assess the applicant's potential for making significant contributions to the field of health services research. Reviewers can recommend that an application be considered for support or recommend an application be given no further consideration. Summary Statements on applications are prepared by AHCPR staff using the comments and scores of the reviewers. Reviews and Summary Statements are usually completed within 10 weeks of receipt of applications. AWARD CRITERIA AHCPR sets aside funds each fiscal year for the Dissertation Research Program. Applications compete for awards with other applications submitted for this program. Three factors influence the final funding decisions on applications for support of dissertations: reviewers' evaluation of the application; the potential of the applicant to contribute to the field; and the general needs of the field. The earliest anticipated date of award for applications will be generally four months after the date the application was due. INQUIRIES Written and telephone inquiries concerning this PA are encouraged. Copies of the PA are available from: Global Exchange Inc. 7910 Woodmont Avenue, Suite 400 Bethesda, MD 20814-3015 Telephone: 301/656-3100 FAX: 301/652-5264 Copies of the PA document can also be requested through AHCPR InstantFAX at (301) 594-2800. To use InstantFAX, you must call from a facsimile (FAX) machine with a telephone handset. Use the key pad on the receiver when responding to prompts from InstantFAX. The PA will be sent at the end of the ordering process. AHCPR InstantFAX operates 24 hours a day, 7 days a week. For questions about this service, call AHCPR's Division of Communications at 301/594-1364 ext. 159. Those considering applying in response to this announcement are strongly encouraged to discuss their projects with AHCPR program administrators before formal submission. The AHCPR welcomes the opportunity to clarify any issues or questions from potential applicants. Direct inquiries regarding programmatic issues, including suitability of research topics and information on the policy of inclusion of women and minorities in study populations, to: Dissertation Program Coordinator Office of Scientific Affairs Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 400 Rockville, MD 20852-4908 Telephone: 301/594-1449 E-Mail/Internet: small@po7.ahcpr.gov Direct inquiries regarding fiscal and administrative matters to: Carol Roache Acting Chief, Grants Management Staff Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 601 Rockville, MD 20852-4908 Telephone: 301/594-1447 FAX 301/594-3210 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance Numbers 93.180 and 93.226. Awards are made under authorization of Title IX of the Public Health Service Act (42 U.S.C. 299-299c-6) and Section 1142 of the Social Security Act (42 U.S.C. 1320b-12). Awards are administered under the PHS Grants Policy Statement and Federal regulations 42 CFR 67, Subpart A, and 45 CFR Parts 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-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 people. .
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