Full Text AA-95-003


NIH GUIDE, Volume 24, Number 6, February 17, 1995

RFA:  AA-95-003

P.T. 34

  Treatment, Medical+ 

National Institute on Alcohol Abuse and Alcoholism

Application Receipt Date:  July 12, 1995


The National Institute on Alcohol Abuse and Alcoholism (NIAAA) is
seeking small grant (R03) applications to stimulate and facilitate
the entry of promising new investigators into the field of alcoholism
treatment research.  This pilot small grant (R03) program is designed
to provide rapid review and funding decisions for applications.  The
NIAAA encourages investigators at the beginning of their research
careers to submit applications for small-scale research projects (up
to $10,000 for direct costs per year for up to two years) related to
issues surrounding assessment and treatment of alcoholism.


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.  This Request
for Applications (RFA), Small Grants for New Alcoholism Treatment
Researchers, is related to the priority areas of alcohol abuse
reduction and alcoholism treatment.  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).


Applications for this RFA may be submitted by foreign and domestic,
public and private non-profit and for-profit organizations such as
universities, colleges, hospitals, treatment facilities, research
institutions, units of State and local government, and eligible
agencies of the Federal government.  Women and minority investigators
and persons with disabilities are encouraged to apply.

To be considered for this award, the proposed Principal Investigator
must be at the beginning of her/his research career and be able to
secure a meaningful mentoring relationship with an experienced
researcher.  Such experience must be in some way relevant to the
project, though it need not be specifically in the field of
alcoholism treatment.  Special target groups for this award include
predoctoral graduate students, postdoctoral fellows, as well as
clinicians now working in the field of alcoholism treatment.
Investigators who have received a research project grant (R01), small
grant (R03), exploratory/development grant (R21), First Independent
Research Support and Transition (FIRST) (R29) award, scientist
development award for clinicians (K20), or a scientist development
award (K21) will not be considered for award.


These awards will be funded under the small grant (R03) mechanism.
Support may be requested for up to two years for up to $10,000 for
direct costs per year.  These awards are not renewable, but a one-
year no cost extension may be requested.

Replacement of the Principal Investigator on this award is not
permitted.  Transfer of the award with the Principal Investigator to
another institution for the remainder of the grant period may be
requested as long as the relationship with the mentor is maintained.

Grant funds may be used for expenses clearly related and necessary to
conduct the research projects, including both direct costs that can
be specifically identified with the project and allowable indirect
costs of the institution.  The award may not be used for salary
support of either the principal investigator or mentor, but may be
used to support the costs of technicians and for dissertation


It is estimated that approximately $100,000 will be available for
approximately seven to eight grants under this RFA in FY 1996.  This
level of support is dependent on the receipt of a sufficient number
of applications of high scientific merit.  Additional applications
may also be funded if their scientific and technical merit warrants
it.  Although this program is provided for in the financial plans of
NIAAA, the award of grants pursuant to this RFA is also contingent
upon the availability of funds for this purpose.


The objective of this RFA is to stimulate and encourage promising new
researchers to enter the field of alcoholism treatment research.  The
initial experience of applying for research funding should be
positive and reinforcing.  Hence, it is anticipated that the
prospects for funding meritorious projects under this RFA will likely
be more favorable than is normally the case.

The Treatment Research Branch of the Division of Clinical and
Prevention Research supports research on management of alcoholism,
alcohol abuse, and alcohol-related disorders, including evaluation of
new treatment methods, assessment of effectiveness of various kinds
of behavioral and pharmacologic interventions, development of new
diagnostic instruments, and elaboration and refinement of
assessment/methodologies for research on effectiveness and costs of
treatment.  This award is designed as a rapid mechanism that provides
"seed" funds for new investigators who have not received research or
career development grant funds from NIAAA in the past.  It supports

o  Pilot projects on treatment issues and outcomes;

o  Psychometric analyses and instrument development; and

o  Secondary analyses of existing data sets.


It is the policy of the NIH that women and members of minority groups
and their subpopulations must be included in all NIH supported
biomedical and behavioral research projects involving human subjects,
unless a clear and compelling rationale and justification is provided
that inclusion is inappropriate with respect to the health of the
subjects or the purpose of the research.  This new policy results
from the NIH Revitalization Act of 1993 (Section 492B of Public Law
103-43) and supersedes and strengthens the previous policies
(Concerning the Inclusion of Women in Study Populations, and
Concerning the Inclusion of Minorities in Study Populations) which
have been in effect since 1990.  The new policy contains some new
provisions that are substantially different from the 1990 policies.
All investigators proposing research involving human subjects should
read the "NIH Guidelines For Inclusion of Women and Minorities as
Subjects in Clinical Research," which have been published in the
Federal Register of March 28, 1994 (FR 59 14508-14513), and reprinted
in the NIH Guide for Grants and Contracts of March 18, 1994, Volume
23, Number 11.

Investigators may obtain copies from these sources or from the
program staff or contact person listed under INQUIRIES.  Program
staff may also provide additional relevant information concerning the


The research grant application form PHS 398 (rev. 9/91) is to be used
in applying for these grants.  These forms are available at most
institutional offices of sponsored research; from the Office of
Grants Information, Division of Research Grants, National Institutes
of Health, 5333 Westbard Avenue, Room 449, Bethesda, md 20892,
telephone 301-435-0714; and from the NIAAA program administrator
listed under INQUIRIES.

The RFA label available in the PHS 398 (rev. 9/91) application form
must be affixed to the bottom of the face page of the application.
Failure to use this label could result in delayed processing of the
application such that it may not reach the review committee in time
for review.  In addition, the RFA title and number must be typed on
line 2a of the face page of the application form and the YES box must
be marked.

The biographical sketches for both the applicant and mentor must be
submitted with the application and be kept to a minimum (not to
exceed 2 pages each).  Sections 1-4 of the Research Plan must be
brief and in no case should the entire Research Plan exceed 10 pages.
Applications failing to meet these page limitations will be returned
without review. Include sufficient but concise information to
facilitate an effective evaluation.  The following information should
be included in the Research Plan:  a description of the objectives of
the research and what the research is intended to accomplish; why the
work is important; and a brief description of the research design and
the procedures to be used to accomplish the objectives of the
project.  Applicants should also provide a description of the
research mentor's qualifications and experience, and evidence that
the mentor has reviewed the proposal and supports the applicant's
efforts.  In all other respects, applications must meet the
conditions set out in form PHS 398, including a standard cover page,
a statement of current and pending research support, and a budget.
Applicants are reminded to adhere to requirements concerning
participation of human subjects, as described on page 22 and page 25
of PHS 398 (rev. 9/91).

The signed original, including the checklist, and three signed,
legible copies of the completed application must be sent to:

Division of Research Grants
National Institutes of Health
6701 Rockledge Drive, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (express mail)

At the time of submission, two additional copies of the application
must also be sent to:

Chief, Extramural Project Review Branch
Office of Scientific Affairs
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 409
6000 Executive Boulevard
Rockville, MD  20892-7003
Rockville, MD 20852 (express mail)
Telephone:  (301) 443-4375
FAX:  (301) 443-6077

Applications must be received by July 12, 1995.  If an application is
received after that date, it will be returned to the applicant.  The
Division of Research Grants (DRG) will not accept any application in
response to this RFA that is essentially the same as one currently
pending initial review, unless the applicant withdraws the pending
application.  The DRG will not accept any application that is
essentially the same as one already reviewed.  This does not preclude
the submission of substantial revisions of applications already
reviewed, but such applications must include an introduction
addressing the previous critique.


The Division of Research Grants, NIH, serves as a central point for
receipt of applications for most discretionary PHS grant programs.
Upon receipt, applications will be reviewed for completeness by DRG
and responsiveness by the NIAAA.  Incomplete applications will be
returned to the applicant without further consideration.  If the
application is not responsive to the RFA, NIAAA staff will contact
the applicant to determine whether to return the application to the
applicant or advise the applicant to revise and resubmit it as a
regular Small Grant application for review in competition with
unsolicited applications at the next review cycle.

Applications may be triaged by an NIAAA peer review group on the
basis of relative competitiveness.  The NIH will withdraw from
further competition those applications judged to be non-competitive
for award and notify the applicant and institutional official.  Those
applications judged to be competitive will undergo further scientific
merit review by a peer review committee convened by the NIAAA.  Those
applications that are complete and responsive will be evaluated in
accordance with the criteria stated below for scientific/technical
merit by an appropriate peer review group convened by the NIAAA.
Applications may also be reviewed by mail ballot.

Review Criteria

Criteria to be used in the scientific and technical merit review of
Small Grants for New Alcoholism Treatment Researchers applications

1.  The scientific, technical, health, or medical significance and
originality of the proposed research.

2.  The appropriateness and adequacy of the research design and
methodology proposed to carry out the proposed research.

3.  Adequacy of data analysis plan, e.g., inclusion of appropriate
power analysis, data reduction strategy, psychometric properties of

4.  Demonstration of an adequate mentoring relationship with an
experienced researcher.

5.  The adequacy of the qualifications and relevant research
experience of the principal investigator and the principal
investigator's mentor.

6.  The availability of adequate data, facilities, general
environment for the conduct of the proposed research, other
resources, and collaborative arrangements necessary for the research.

7.  The reasonableness of budget estimates for the proposed research.

8.  Adequacy of plans to include both genders and minorities and
their subgroups as appropriate for the scientific goals of the
research.  Plans for the recruitment and retention of subjects will
also be evaluated.

The initial review group will also examine the provisions for the
protection of human and animal subjects, and the safety of the
research environment.


Applications recommended for approval will be considered for funding
on the basis of the overall scientific and technical merit of the
application as determined by peer review, NIAAA programmatic needs
and balance, and the availability of funds.


Potential applicants are encouraged to seek preapplication
consultation and may contact the individual listed below for
consultation in preparing an application under this RFA.

Direct inquiries regarding program issues to:

Joanne Fertig, Ph.D.
Division of Clinical and Prevention Research
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 505
6000 Executive Boulevard
Rockville, MD  20892-7003
Telephone:  (301) 443-0796
FAX:  (301) 443-8774
Email:  jfertig@willco.niaaa.nih.gov

Direct inquiries regarding fiscal matters to:

Joseph Weeda
Office of Planning and Resource Management
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 504
6000 Executive Boulevard
Rockville, MD  20892-7003
Telephone:  (301) 443-4703
FAX:  (301) 443-3891
Email:  jweeda@willco.niaaa.nih.gov


This program is described in the Catalog of Federal Domestic
Assistance No. 93.273.  Awards are made under the authorization of
the Public Health Service Act, Sections 301 and 464H, and
administered under the PHS grants policies and Federal Regulations at
Title 42 CFR Part 52, "Grants for Research Projects;" Title 45 CFR
Parts 74 and 92, "Administration of Grants;" and 45 CFR Part 46,
"Protections of Human Subjects."  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 recipients to provide a smoke-
free workplace and promote the non-use of all tobacco products.  This
is consistent with the PHS mission to protect and advance the
physical and mental health of the American people.


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