This Program Announcement expires on (July 1, 2004) unless reissued. DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING Release Date: April 12, 2001 PA NUMBER: PA-01-082 (see replacement PA-04-123) National Institute on Aging THIS PA USES THE "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. IT INCLUDES DETAILED MODIFICATIONS TO THE STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED WHEN PREPARING APPLICATIONS IN RESPONSE TO THIS PA. PURPOSE The National Institute on Aging (NIA) is seeking small grant (R03) applications to: 1) stimulate and facilitate secondary analyses of data and data archiving related to demography, economics, and behavioral research on aging; 2) provide support for preliminary projects using secondary analysis that could lead to subsequent applications for other research project grant award mechanisms; 3) provide support for rapid analyses of new databases and experimental modules for purposes such as informing the design and content of future study waves; and 4) provide support for the development, enhancement and assembly of new databases from existing data. The announcement updates and replaces a previous Program Announcement, Secondary Analysis in Demography and Economics of Aging (PA-99-160, issued September 2, 1999). 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), DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING, 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 REQUIREMENTS Applications may be submitted by domestic and foreign for-profit and non-profit organizations, public and private, such as universities, colleges, hospitals, laboratories, units of State and local governments, and eligible agencies of the Federal government. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as principal investigators. Participation in the program by investigators at minority institutions is strongly encouraged. Applications from new investigators and researchers new to aging are particularly encouraged. Applicants based at foreign-institutions should note the relevant section of Research Objectives below. MECHANISM OF SUPPORT The mechanism of support will be the small grant (R03). Applicants may request either $25,000 or $50,000 in direct costs per year for up to two years through the small grant (R03) mechanism. Some preference may be given to one year projects. It is expected that most of the analyses proposed in response to this announcement can be completed within a year. However, a few analyses, especially those that propose to link multiple datasets or involving collaborations among several sites may take more than one year. For this reason up to two years of research may be supported. The particular reason or reasons for requesting the second year of support must be stated in the budget justification. The grants will be awarded under Expanded Authorities and are eligible for a single one-year no cost extension. These awards are not renewable. If applicable, before completion of the R03, investigators are encouraged to seek continuing support for research through other grant award mechanisms. Replacement of the Principal Investigator on this award is not permitted. Specific application instructions have been modified to reflect "MODULAR GRANT" and "JUST-IN-TIME" streamlining efforts being examined by NIH. Complete and detailed instructions and information on Modular Grant applications can be found at: http://grants.nih.gov/grants/funding/modular/modular.htm. FUNDS AVAILABLE Approximately $1,000,000 (total costs) will be available to fund 10 to 15 small grants each fiscal year, contingent on high scientific merit and program priorities. RESEARCH OBJECTIVES This Small Grant Program is designed to: support researchers interested in undertaking secondary analyses of data related to demography, economics, and behavioral research on aging; provide support for preliminary projects using secondary analysis that could lead to subsequent applications for individual research awards; provide support for rapid analyses of new databases and experimental modules for purposes such as informing the design and content of future study waves; and provide support for publicly archiving datasets (including salient psychological and sociological data) relevant to demographic, economic, and behavioral analyses of the older population. International comparative analyses are encouraged. Applications which are innovative and high risk with the likelihood for high impact are especially encouraged. See also National Institute on Aging: Pilot Research Grant Program which permits original data collection on several of the topics below (PA-01- 037 also available at at http://grants.nih.gov/grants/guide/pa-files/PA-01-037.html). Examples: o Biodemography of aging: including the demographic aspects of heritability and familial aggregation of disease and longevity; incorporation of genetic, biological, and disease variables into demographic models and age-specific mortality rates; the social roles of the elderly in nature; and biological mediators of the relationship between socio-economic status and health. (See Between Zeus and the Salmon: The Biodemography of Longevity. Washington, DC: National Academy Press, 1997 and Cells and Surveys: Should Biological Measures Be Included in Social Science Research? Washington, DC: National Academy Press, 2001. Both available at http://www.nap.edu.) o Ethical, legal, social, and economic implications of human genetic studies on aging. How would attrition rates be affected in longitudinal projects, how does collection of DNA influence willingness to participate in aging studies in general, and what are the larger factors (i.e. health insurance and privacy issues) that pose concern to study participants? Research assessing demographic factors (e.g., age, sex, race/ethnicity) is also critical to understanding cultural differences in perceptions of genetic research and the role of these demographic differences for the issues outlined herein. o Investigation of trends in chronic disease and disability, especially of the factors underlying the recent trend in declining disability, in the older population. Determination and estimation of causal factors underlying the trend (e.g. medical technological interventions, health care access and use, early life experiences, education, biomedical and social research advances, healthy lifestyle behaviors, public health measures). International comparative analyses of declining disability in countries with different institutional and family structures are encouraged. o Analysis of the factors that trigger movement of the elderly through various living arrangements, from independent living through the various forms of long- term care, and the functional and health-related outcomes associated with residential options available to older persons. o Estimation of the impact of changes in the functional status of the older population on Medicare and other health care costs. Estimation of the impact of medical interventions on future lifetime health care costs. o Economic analyses of the impact of aging-related biomedical and social research and resulting new technologies and interventions. Estimation of the impact of health (including links with geography and demography) on economic development, especially in developing countries. (See The World Health Report 1999: Making a Difference. World Health Organization. Also available at http://www.who.int/whr.) o Measurement of the magnitude and socio-economic consequences of burden of illness in the older population. Improved analysis and methodology to allocate and impute burden of illness, given the importance of comorbidity in the older population. Improved analysis and methodology to allocate burden by disease and disability. (See The World Health Report 1999: Making a Difference. World Health Organization. Also available at http://www.who.int/whr.) o Modeling risk factor trajectories and trends in non-communicable disease disability and mortality in developed and developing countries, with emphasis on aging populations. Analyses and projections of the epidemiological transition in developing countries. (See Murray, C.J.L. and Lopez, A.D. 1996. Evidence-Based Health Policy -- Lessons from the Global Burden of Disease Study. Science, 274, 740- 743). Demographic and economic impact of HIV/AIDS on population structure and the elderly, particularly in Africa and other developing countries.) o Evaluations and simulations of the impact of changes in DHHS and SSA policies (e.g. changing the age of eligibility for Medicare and Social Security benefits, and expanding coverage to include prescription drugs) on the health and functioning of the older population. o Health, work and retirement, including: implications of population aging for public and private retirement programs and for income security of future retirees (See Assessing Knowledge of Retirement Behavior. Washington, DC: National Academy Press. 1996 and Assessing Policies for Retirement Income: Needs for Data, Research, and Models. Washington, DC: National Academy Press, 1997. Both available at http://www.nap.edu); implications of women's life history (e.g., temporary exits from the labor force for child rearing and caregiving of older parents) on retirement income and savings adequacy; implications for late-life health and financial security of the timing of demographic events such as marriage, child-rearing, widowhood, etc.; determinants of retirement, family labor supply, and saving; consequences of retirement for health and functioning; comparative studies of labor force activity; effects of psychological factors (e.g. expectations, risk taking, personality, altruism, time preferences, etc.) and mental health characteristics (e.g. depression) on economic behaviors (e.g. savings and transfers); economic and demographic analyses of employer- and organizational- level determinants of labor force participation at older ages. o Interactions between health and socio-economic status (and their cumulative relationship) over time and across generations; relationship between health and wealth; role of social cohesion as a mediating factor; improved measures of socioeconomic position for aging populations; improved understanding of the mechanisms underlying associations between socio-economic status and health; economic determinants of health promotion and disease prevention behaviors. o Studies of health disparities, including the health of small geographic areas and of diverse racial and ethnic older populations. Variables of interest include the effects of lifelong poverty, birth weight, access to and utilization of employer-provided health insurance, recency and circumstances of immigration; the strain of physically demanding work; occupation; wealth, income and early-life health status; and experiences of discrimination. (See Racial and Ethnic Differences in the Health of Older Americans. Washington, DC: National Academy Press. 1997; available at http://www.nap.edu.) o Studies examining the impact of social relationships (e.g., social network structures, types, levels and quality of social support) on cognitive decline and dementia. Also, demography and economics of dementia and Alzheimer's Disease in older populations. o General demographic analyses of population aging, including: cohort analyses of aging, including the baby boom cohort; implications of changing family structures on caregiving needs; historical demographic and epidemiological research on the aging process and on the determinants of health and mortality in older populations; forecasting life and active life expectancy, health, medical services and long term care usage; migration and immigration; the impact of state and small area characteristics on health; improved descriptive analyses of centenarian populations; macro and micro dynamics of intergenerational exchanges; use of public and private resources in the period before death; and comparative international analyses of population aging using Census and other data. (See Demography, 34: 1. February 1997; and Demography of Aging. Washington DC: National Academy Press. 1994. Also available at http://www.nap.edu.) o Analyses of bibliometric, citation, scientific labor force and other databases to map trends and emerging frontiers in aging research and the assessment of progress and evaluation of the impact of social and behavioral research. o Linking data sets for the purpose of conducting analyses (i.e. meta- analyses, mega-analyses). Applications are encouraged that combine raw data from different data collections to be mined in new and innovative ways in order to achieve new research aims, and/or to permit more breadth, precision, and reliability than can be achieved by the analysis of data from an isolated research study. Priority will be given to proposals undertaking secondary analysis of publicly available datasets of high Congressional and NIA priority, such as the Health and Retirement Study (HRS) (see The Journal of Human Resources, 30. Supplement 1995), Asset and Health Dynamics of the Oldest-Old (AHEAD) (see The Journals of Gerontology Series B, 52B. Special Issue, May 1997), and the National Long Term Care Survey (NLTCS) (See Manton et al. 1997. Chronic Disability Trends in Elderly United States Populations: 1982-1984. Proc. Natl. Acad. Sci., 94, 2593-2598). Other datasets supported by NIA which are in the public domain include: Alameda County Study; Australian Longitudinal Study of Aging (ALSA); Current Population Survey (CPS); Early Indicators of Later Work Levels, Disease, and Death; Epidemiology of Chronic Disease in the Oldest Old; Established Populations for Epidemiologic Studies of the Elderly (EPESE); Hispanic EPESE; German Socio-Economic Panel (GSOEP); Indonesian Family Life Survey (IFLS); Longitudinal Study of Aging (LSOA); Supplement on Aging II (SOA II); Luxembourg Income Study (LIS); Malaysian Family Life Survey (MFLS); National Survey of Self Care Behaviors; National Longitudinal Survey (NLS): 1990 Resurvey of Older Males; National Survey of Families and Households (NSFH) Reinterview; Odense Archive of Population Data on Aging; Panel Study of Income Dynamics (PSID); 1990 Public-Use Microdata Sample for the Older Population and the comparable samples from ECE countries (collected by the UN/ECE/PAU); the Wisconsin Longitudinal Survey (WLS); the National Growth and Change Study (NGCS); and The Wechsler Adult Intelligence Scale Archives (NIA-WAIS) on Aging and Multiple Cognitive Abilities. Applicants are also encouraged to consider analysis using data from the Longitudinal Employer-Household Dynamics Project that links worker and firm data at the Census Bureau. Information about these and other datasets that have been supported entirely or in part by the NIA, including instructions on how the data can be accessed, can be found in Publicly Available Databases for Aging-Related Secondary Analyses in the Behavioral and Social Sciences, available in hard copy or on the web at http://www.nia.nih.gov/NR/rdonlyres/D2DC41DF-3608-4785-A9BA-62B1138EB520/0/datasets.pdf. Applicants are especially encouraged to refer to the Minority Aging and Health CD-Rom from the National Archive of Computerized Data on Aging (NACDA) offered to the research community through funding provided by NIA (Beta Release Fall/Winter 2000). A number of important datasets and archives are based in European and other countries (e.g., British birth cohorts, country-specific population registers). Many of these data sets offer unique insights into aging and are important aids in interpreting patterns of aging in the U.S. Domestic investigators are encouraged to collaborate with researchers at these foreign sites in order to access these datasets. Foreign-based investigators are also encouraged to apply for funding directly where it is clear that both the expertise and the data set are at the foreign institution and of value to understanding aging in the U.S. Since replication is a fundamental tenet of science, applicants should provide compelling justification for using data which are restricted because of confidentiality, privacy, international or other legal considerations. Information on other initiatives supported by NIA may be found at the following Internet address: http://www.nih.gov/nia. 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); 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. 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 grant application form PHS 398 (rev. 4/98) and prepared according to the directions in the application packet, with the exceptions noted below. Applications will be accepted on or before the receipt dates indicated in the application kit: February 1, June 1 and October 1 for new applications; March 1, July 1, and November 1 for amended applications. Only one Small Grant application may be submitted by a principal investigator per receipt date. Applicants may not submit other research project grant applications on the same topic concurrent (to be considered at the same review cycle) with the submission of a Small Grant application. 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, Phone (301) 710-0267, Email: GRANTSINFO@NIH.GOV. Applications are also available on the Internet at http://grants.nih.gov/grants/funding/phs398/phs398.html. On the face page of the application: Item 2 Type "DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING." Check the "YES" box. Research plan: Do not exceed a total of ten pages for the following parts (a- d): Specific aims, Background and Significance, Progress Report/Preliminary Studies, and Experimental Design and Methods. Tables and figures are included in the ten page limitation. Applications that exceed the page limitation or PHS requirements for type size and margins (Refer to PHS 398 application for details) will be returned to the investigator. The ten page limitation does not include parts e through i. (Human Subjects, Vertebrate Animals, Literature Cited, Consortium Arrangements, Consultants). For amended applications, an Introduction not exceeding one page is permitted. No appendix materials are permitted. 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) SPECIFIC APPLICATION INSTRUCTIONS FOR MODULAR GRANTS The DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING small grant program will follow modular procedures for application and award (see also http://grants.nih.gov/grants/funding/modular/modular.htm ). 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 for the DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING small grant program may request direct costs in $25,000 modules, up to a total direct cost request of $50,000 per year. 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) and Total Costs [Modular Total Direct plus Facilities and Administrative (F&A) costs] for the first year budget period. 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 - Use 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. Applicants requesting two years of support should justify the second year request. 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. 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. Applications not conforming to these guidelines will be considered unresponsive to this PA and will be returned without further review. ALLOWABLE COSTS Allowable costs include support for public archiving, development, enhancement, and assembly of datasets relevant to demographic and economic analysis of the older population. REVIEW CONSIDERATIONS Applications will be assigned on the basis of established Public Health Service referral guidelines. Applications that are complete will be evaluated for scientific and technical merit by an appropriate peer review group convened in accordance with 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 and assigned a priority score. Applications submitted by foreign organizations or institutions receive a second level review by the appropriate national advisory council or board. Review Criteria o 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? o 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? o 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? o 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)? o Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Does the proposed research take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there evidence of institutional support? Additional factors to be considered: The initial review group will also examine: the likelihood that the project will lead to significant advancement of aging research; the appropriateness of proposed project budget and duration; the adequacy of coverage of both genders and minorities and their subgroups in the dataset proposed for the secondary analysis, as appropriate for the scientific goals of the study; the adequacy of the proposed dataset to protect the identifiability of human subjects; and the safety of the research environment. AWARD CRITERIA Applications will compete for available funds with all other recommended applications. The following will be considered in making funding decisions: o Quality of the proposed project as determined by peer review o Availability of funds o Program priority. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. For information about the datasets described above, send your inquiry to: Elayne Heisler, Ph.D. Social Science Analyst Behavioral and Social Research Program Population and Social Processes Branch National Institute on Aging 7201 Wisconsin Ave, Suite 533 Bethesda, MD 20892-9205 Telephone: (301) 496-3138 FAX : (301) 402-0051 Email: heislere@mail.nih.gov Direct inquiries about specific issues related to the incorporation of biological and genetic information to: Jennifer Harris, PhD Behavioral and Social Research Program National Institute on Aging 7201 Wisconsin Avenue, Suite 533, MSC 9205 Bethesda, MD 20892-9205 Telephone: (301) 496-3138 FAX: (301) 402-0051 Email: jh475o@NIH.GOV Direct inquiries regarding all other programmatic issues to: Rose Maria Li, MBA, PhD Behavioral and Social Research Program National Institute on Aging 7201 Wisconsin Avenue, Suite 533, MSC 9205 Bethesda, MD 20892-9205 Telephone: (301) 496-3138 FAX: (301) 402-0051 Email: rl26b@NIH.GOV (e-mail correspondence is preferred) Direct inquiries regarding fiscal matters to: Linda Whipp Grants and Contracts Management Office National Institute on Aging 7201 Wisconsin Avenue, Suite 2N212, MSC 9205 Bethesda, MD 20892 Telephone: (301) 496-1472 FAX: (301) 402-3672 Email: lw17m@NIH.GOV (e-mail correspondence is preferred) AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.866. 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 and Federal Regulations 42 CFR 52 and 45 CFR Parts 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 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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