and Human Services (HHS)
EXPIRED
Department
of Health and Human Services
Participating Organizations
National
Institutes of Health (NIH), (http://www.nih.gov)
Components of
Participating Organizations
National
Institute on Aging (NIA) (http://www.nia.nih.gov)
Title: Neuroeconomics of Aging (R21)
Announcement Type
New
NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through Grants.gov (http://www.grants.gov) using the SF424 Research and Related (R&R) forms and the SF424 (R&R) Application Guide.
APPLICATIONS MAY NOT BE SUBMITTED IN PAPER FORMAT.
This FOA must be read in conjunction with the application guidelines included with this announcement in Grants.gov/Apply for Grants (hereafter called Grants.gov/Apply).
A registration process is necessary before submission and applicants are highly encouraged to start the process at least four weeks prior to the grant submission date. See Section IV.
Request For Applications (RFA) Number: RFA-AG-06-011
Catalog of Federal
Domestic Assistance Number(s)
93.866
Key Dates
Release/Posted Date: July 31, 2006
Opening Date: September 27, 2006 (Earliest date an application may be submitted to Grants.gov)
Letters of Intent Receipt Date(s): October 30, 2006
Application Submission/Receipt Date: November
27, 2006
Peer
Review Date(s): February-March, 2007
Council Review Date(s): May 2007.
Earliest Anticipated Start Date(s): July 1, 2007
Expiration Date: November
28, 2006
Due Dates for E.O. 12372
Not
Applicable
Additional
Overview Content
Executive Summary
The purpose of this FOA is to stimulate investigations in the area of Neuroeconomics of Aging. The National Institute on Aging (NIA) invites applications examining the social, emotional, cognitive, motivational processes and neurobiological mechanisms of economic behavior as these (1) influence social, financial, and health-related decisions affecting the well-being of middle-aged and older adults, and (2) inform the development and refinement of integrative economic theories of utility, learning, and strategic choice relevant to aging.
Table of Contents
Part I Overview Information
Part II Full Text of Announcement
Section I. Funding Opportunity
Description
1. Research Objectives
Section II. Award Information
1. Mechanism of Support
2. Funds Available
Section III. Eligibility
Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2. Cost Sharing or Matching
3. Other - Special Eligibility Criteria
Section IV. Application and
Submission Information
1. Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Submission, Review, and
Anticipated Start Dates
1. Letter of Intent
B. Submitting an Application Electronically
to the NIH
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review
Information
1. Criteria
2. Review and Selection Process
A. Additional Review Criteria
B. Additional Review Considerations
C. Sharing Research Data
D. Sharing Research Resources
3. Anticipated Announcement and Award Dates
Section VI. Award Administration
Information
1. Award Notices
2. Administrative and National Policy Requirements
A. Cooperative Agreement Terms and Conditions of Award
3. Reporting
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/Grants Management Contact(s)
Section VIII. Other Information
- Required Federal Citations
Part II
- Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
Purpose
The purpose of this funding opportunity announcement (FOA) is to stimulate investigations in the area of Neuroeconomics of Aging. The National Institute on Aging (NIA) invites applications examining the social, emotional, cognitive, motivational processes and neurobiological mechanisms of economic behavior as these (1) influence social, financial, and health-related decisions affecting the well-being of middle-aged and older adults, and (2) inform the development and refinement of integrative economic theories of utility, learning, and strategic choice relevant to aging. Of particular interest are applications exploring the neurobiological underpinnings of economic behavior associated with life cycle decisions in domains such as health care, health and long-term care insurance, health behaviors, savings, and retirement, as well as those investigating age differences in socioeconomic phenomena that govern expenditures of social and economic capital, such as fairness, altruism, and trust.
Note: For the purposes of this FOA, economic behaviors are defined as those related to the individual allocation of financial, temporal, social, and physical resources for the purpose of influencing the subjective or objective well-being of individuals, social groups, or institutions. Well being in the context of this FOA is based on utility theory in neoclassical economic models of behavior, in which utility is an ordinal or cardinal measure of well being derived from consumption of goods or leisure. Recently, the bridging of economics and psychology has led to recognition of the need to expand traditional conceptualizations of utility to include the contribution of affective, temporal, and social factors that influence well-being. Thus references to well being are intended to reflect the common understanding across psychology, economics and neuroscience regarding the concept of utility.
Research priority areas include: (1) investigation of age differences in reward processing, inter-temporal choice, preference formation, and motivation associated with economically relevant behaviors, with a focus on both the psychological and behavioral manifestation of these differences and differences in the underlying neurobiological mechanisms; (2) development of innovative methods for measuring economic choices of relevance to middle aged and older adults in the laboratory, field, and neuroimaging environments; (3) incorporation of neurobiological and behavioral measures of economic behaviors into longitudinal studies of aging; (4) investigation of social, affective, and contextual factors influencing the economic behavior of middle aged and older adults, and the neurobiological correlates thereof.
Background
The emerging interdisciplinary field of neuroeconomics applies the theories and methodologies of behavioral economics, game theory, psychology, and cognitive, social and affective neuroscience to the study of economically relevant behavior. Neuroeconomics seeks to explain economic behavior in terms of the psychological mechanisms that guide economic behaviors and the neurobiological mechanisms that underlie them. Fueled by methodological advances in neuroscience, including the development of neuroimaging technologies, and new methods for studying the role of neuromodulatory (hormones, neurotransmitters, etc.) and genetic factors in behavioral processes, neuroeconomics provides opportunities for a systematic investigation of the neurobiological mechanisms involved in economic behaviors. Recent investigations in neuroeconomics have focused on the neural correlates of economic behaviors including reward processing, temporal discounting, subjective and objective valuation, overconfidence, delay of gratification, decision-making under risk and uncertainty, and affective influences on choice. The neuroeconomics perspective is also being applied to important social phenomena involved in the motivation of economic behavior including altruism, cooperation, competition, greed, revenge, empathy, fairness, persuasion, trust and reciprocity. These functions implicate the involvement of neural mechanisms associated with reward processing, motivation, affect, and social cognition.
Recent functional Magnetic Resonance Imaging (fMRI) studies of humans engaged in behavioral economic tasks have implicated a variety of brain areas as neural substrates for distinct components of economic behavior. This research has been almost exclusively conducted with young adults, and little data exists on whether brain activation patterns differ as a function of age, or whether age differences in economic behavior are related to differences in underlying brain structure or function. Key systems involved in the processing of monetary rewards include structures in the midbrain dopamine system and areas involved in mediating emotional responses, including the amygdala, insula, and orbital and medial prefrontal cortex (e.g., Rogers et al.,1999; Elliot, Friston, & Dolan, 2000; Breiter et al., 2001; Knutson et al., 2001a, 2001b; O'Doherty, et al., 2001; Zink et al., 2004; Kuhnen & Knutson, 2005). Reward mechanisms and emotion processing circuitry are also strongly implicated in socioeconomic tasks, where concerns about fairness and reciprocity often trump purely economic interests (Sanfey et al., 2003; de Quervain et al., 2004; Rilling et al., 2002). These findings suggest that the common currency for the calculation of utility or well-being may be the affective response one has to an incentive, a social partner, or social exchange context. Meanwhile, evidence is accumulating that older age is associated with distinct social motives and affect-processing profiles (Mather & Carstensen, 2005; Carstensen, Isaacowitz, & Charles, 1999). Yet there is little understanding of the impact of these age differences on the economic behaviors of middle aged and older adults.
In addition, dorsolateral and medial prefrontal mechanisms involved in cognitive control and social cognition are engaged when people evaluate others intentions, choose between competing rewards, or between fair and unfair offers (Sanfey et al., 2003; Rilling et al., 2004; McClure et al., 2004). Finally, the recent finding that the neuropeptide oxytocin increases trust behaviors in humans in economic contexts (Kosfeld et al., 2005) highlights the importance of considering the variety of neurochemically-mediated pathways that modulate socioeconomic behaviors, and raises questions about whether there are age differences in their function.
The ability of neuroimaging research on economic behavior to directly shed light on economic models of relevance to aging is exemplified in a recent study of intertemporal choice (McClure et al., 2004). Traditional economic models used to explain life cycle savings and consumption behaviors have assumed an exponential discount function with an implied stability of preferences over time, an interest in maximizing one s long range prospects, and a discounting of future rewards as a function of time. Recent alternative theories of intertemporal choice, based on behavioral economic data, suggest that individuals have an impulsive bias to prefer immediate over delayed rewards, but otherwise discount exponentially over rewards delayed in time, suggestive of a quasi-hyperbolic discount function (Laibson, 1997). McClure and colleagues (2004), using fMRI, identified two separate neural systems involved in intertemporal choice: a primarily limbic/reward system that values immediate rewards, and a separate fronto-parietal system associated with making choices regardless of time delay. This finding suggests that the brain functions in a manner more consistent with quasi-hyperbolic economic models of temporal discounting. Such findings have direct implications for economic modeling of savings behavior, retirement planning, and insurance and investment decisions that impact the well being of middle aged and older adults.
To date, however, there has been little investigation of these phenomena in the context of aging. Understanding age-related changes in motivation and socioemotional influences on decision making are among the top research priorities identified in a recent National Research Council report from the Committee on Aging Frontiers in Social Psychology, Personality, and Adult Developmental Psychology, entitled When I m 64 , (Carstensen & Hartel, 2006) (http://www.nap.edu/catalog/11474.html). How changes in emotional, cognitive, and physical capacities at different life stages, in combination with life course changes in motivation and goals, impact economic behaviors at different life stages remains unknown, with even less known about changes in the neurobiological underpinnings of these interactions. Extending the neuroeconomics approach to behavioral and social research on aging offers the opportunity for study of how the neurobiological changes associated with aging influence or are influenced by these social, emotional, cognitive, and motivational factors. Thus, the neuroeconomics approach has potential to improve predictive models of life course economic behavior by revealing the neurobiological mechanisms involved.
General Characteristics of Responsive Applications
Exploratory/developmental research applications (R21) are encouraged to explore, from an aging perspective, (1) the social, cognitive, affective, and/or motivational processes that influence economic behavior; and (2) the neurobiological mechanisms (e.g., metabolic, hemodynamic, electrophysiological, neuroendocrine, autonomic, or genetic) that underlie economic behavior.
Interdisciplinary approaches to aging-relevant research questions framed at the behavioral or social level and examining the relation between behavior and neurobiological and/or genetic processes are particularly encouraged. Research teams must include expertise in economics.
Applicants to this FOA need not have an established history of research on aging. Use of the R21 mechanism is intended to encourage innovative research likely to lay the foundations for future research proposals in neuroeconomics of aging.
Resources for Applicants
Applicants are invited to access reports from recent workshops and teleconferences on Neuroeconomics and Aging held by the National Institute on Aging at the following url: (http://www.nia.nih.gov/ResearchInformation/ExtramuralPrograms/BehavioralAndSocialResearch/ConferencesAndWorkshops.htm).
Publications and resources on the economics of aging are available through the National Bureau of Economic Research at the following url: (http://www.nber.org/programs/ag/cahr/publications.html)
Information on NIA-sponsored longitudinal studies of aging is available at: (http://www.nia.nih.gov/ResearchInformation/ExtramuralPrograms/BehavioralAndSocialResearch/Resources.htm)
Responses to frequently asked questions concerning this FOA will be posted at (http://www.nia.nih.gov/ResearchInformation/ExtramuralPrograms/BehavioralAndSocialResearch/), under Current Funding Opportunities.
Sample Research Topics
Research questions may focus on age differences in mechanisms of economic behavior such as risk attitudes, reward processing, inter-temporal choice, and preference formation, or age differences in socioeconomic motives such as trust and cooperation. Also pertinent are applications to real world economic behaviors of relevance to aging such as savings decisions, decisions by proxy, health care allocations, and retirement planning, and to the social factors that shape them. The following sample topics are intended as examples only. Research applications on other topics that fall within the priority areas are also welcomed.
Age differences in economic behavior, such as:
Social and contextual factors in economic behavior, such as:
Methodological advances, such as:
References
Breiter, H.C., Aharon, I., Kahneman, D., Dale, A., & Shizgal, P. (2001). Functional imaging of neural responses to expectancy and experience of monetary gains and losses. Neuron, 30, 619-39.
Carstensen, L.L., Isaacowitz, D.M., & Charles, S.T. (1999). Taking time seriously: A theory of socioemotional selectivity. American Psychologist, 54 (3), 165-81.
De Quervain, D.J., Fischbacher, U., Tryer, V., Schellhammer, M., Schnyder, U., Buck, A., & Fehr, E. (2004). The neural basis of altruistic punishment. Science, 305 (5688), 1246-7.
Elliot, R., Friston, K.J., & Dolan, R.J. (2000). Dissociable neural responses in human reward systems. The Journal of Neuroscience, 20 (16), 6159-6165.
Kahneman, D. (2003). A perspective on judgment and choice; Mapping bounded rationality. American Psychologist, 58 (9), 697-720.
Kahneman, D. & Tversky, A. (1979). Prospect theory: An analysis of decisions under risk. Econometrica, 47, 263-291.
Knutson, B., Fong, G.W., Adams, C.M., Varner, J.L., & Hommer, D. (2001a). Dissociation of reward anticipation and outcome with event-related fMRI. Neuroreport, 12 (17), 3683-3687.
Knutson, B., Adams, C.M., Fong, G.W., & Hommer D. (2001b). Anticipation of increasing monetary reward selectively recruits nucleus accumbens. The Journal of Neuroscience, 21, 5472-5476.
Kosfeld, M., Heinrichs, M., Zak, P.J., Fischbacher, U., & Fehr, E. (2005). Oxytocin increases trust in humans. Nature, 435 (7042), 673-6.
Kuhnen, C.M. & Knutson, B (2005). The neural basis of financial risk taking. Neuron, 47 (5), 763-70.
Laibson, D.I. (1997). Golden eggs and hyperbolic discounting. Quarterly Journal of Economics, 62, 443-77.
Mather, M. & Carstensen, L.L. (2005). Aging and motivated cognition: the positivity effect in attention and memory. Trends in Cognitive Sciences, 9 (10), 496-502.
McClure, S.M., Laibson, D.I., Loewenstein, G., Cohen, J.D. (2004). Separate neural systems value immediate and delayed monetary rewards. Science, 306, 503-507.
O'Doherty, J., Kringelbach, M.L., Rolls, E.T., Hornak, J., & Andrews, C. (2001). Abstract reward and punishment representation in the human orbitofrontal cortex. Nature Neuroscience, 4 (1), 95-102.
Rilling, J.K., Gutman, D. A., Zeh, T.R., Pagnoni, G., Betas, G.S., & Kilts, C.D. (2002). A neural basis for social cooperation. Neuron, 35, 395-405.
Rilling, J.K., Sanfey, A.g., Aronson, J.A., Nystrom, L.E., & Cohen, J.D. (2004). The neural correlates of theory of mind within interpersonal interactions. Neuroimage, 22, 1694-1703.
Rogers, R.D., Owen, A.M., Middleton, H.C., Williams, E.J., Pickard, J.D., Sahakian, B.J., & Robbins, T.W. (1999). Choosing between small, likely rewards and large, unlikely rewards activates inferior and orbital prefrontal cortex. The Journal of Neuroscience, 20 (19), 9029-38.
Sanfey, A.G., Rilling, J.K., Aronson, J.A., Nystrom, L.E., & Cohen, J.D. (2003). The neural basis of economic decision-making in the Ultimatum Game. Science, 300 (5626), 1755-8.
Zink, C.F., Pagnoni, G., Martin-Skurski, M.E., Chappelow, J.C., & Berns, G.S. (2004). Human striatal responses to monetary reward depend on saliency. Neuron, 42 (3), 509-17.
See Section VIII, Other Information - Required Federal
Citations, for policies related to this announcement.
Section
II. Award Information
1. Mechanism of Support
This Funding Opportunity Announcement (FOA)
will use the NIH R21 award mechanism. The applicant will be solely responsible for planning,
directing, and executing the proposed project.
The R21 mechanism is intended to encourage new exploratory and developmental research projects. For example, such projects could assess the feasibility of a novel area of investigation or a new experimental system that has the potential to enhance health-related research. Another example could include the unique and innovative use of an existing methodology to explore a new scientific area. These studies may involve considerable risk but may lead to a breakthrough in a particular area, or to the development of novel techniques, agents, methodologies, models, or applications that could have a major impact on a field of biomedical, behavioral, or clinical research.
Applications for R21 awards should describe projects distinct from those supported through the traditional R01 mechanism. Applications submitted under this mechanism should be exploratory and novel. For example, long-term projects, or projects designed to increase knowledge in a well-established area, would not be appropriate for R21 awards. These studies should break new ground or extend previous discoveries toward new directions or applications. Projects of limited cost or scope that use widely accepted approaches and methods within well established fields are better suited for the R03 small grant mechanism through the regular review cycle. Information on the R03 program can be found at http://grants.nih.gov/grants/funding/r03.htm.
This FOA uses Just-in-Time information concepts. It also uses the modular budget formats (see the Modular Applications and Awards section of the NIH Grants Policy Statement. Specifically use the PHS398 Modular Budget component provided in the SF424 (R&R) Application Package and SF424 (R&R) Application Guide (see specifically Section 5.4, Modular Budget Component, of the Application Guide).
2. Funds Available
Because the nature and scope of the proposed research will vary from
application to application, it is anticipated that the size and duration of
each award will also vary. Although the financial plans of the NIA provide
support for this program, awards pursuant to this funding opportunity are
contingent upon the availability of funds and the submission of a sufficient
number of meritorious applications.
The total project period for an application submitted in response to this funding opportunity may not exceed 3 years. Although the size of award may vary with the scope of research proposed, it is expected that applications will stay within the budgetary guidelines for an exploratory/developmental project. Direct costs are limited to $350,000 over a three-year period, with no more than $200,000 in direct costs allowed in any single year. Applicants may request direct costs in $25,000 modules, up to the total direct costs limitation of $350,000 for the combined three-year award period.
The R21 mechanism limits the research plan to 15 pages and does not allow for renewals.
The National Institute on Aging intends to commit approximately $1,500,000 dollars in FY2007 to fund approximately 4-6 new applications.
NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.
Facilities
and Administrative (F&A) costs
requested by consortium participants are not included in the direct cost
limitation. See NOT-OD-05-004,
November 2, 2004.
Section
III. Eligibility Information
1. Eligible Applicants
1.A. Eligible Institutions
You may submit an application(s) if your organization
has any of the following characteristics:
1.B. Eligible Individuals
Any individual with the skills, knowledge, and resources necessary to carry out the proposed research as the Project Director/Principal Investigator (PD/PI) is invited to work with his/her organization 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 support.
2.
Cost Sharing or Matching
This program does not require cost sharing as defined in the current NIH
Grants Policy Statement.
3. Other-Special
Eligibility Criteria
Applicants may submit more than one application, provided each application is scientifically
distinct.
Section IV. Application and Submission Information
To download a SF424 (R&R) Application Package and
SF424 (R&R) Application Guide for completing the SF424 (R&R) forms for
this FOA, link to http://www.grants.gov/Apply/ and follow the directions provided on that Web site.
A one-time registration is required for institutions/organizations at both:
PDs/PIs should work with their institutions/organizations to make sure they are registered in the eRA Commons.
Several additional separate actions are required before an applicant institution/organization can submit an electronic application, as follows:
1) Organizational/Institutional Registration in Grants.gov/Get Started
2) Organizational/Institutional Registration in the eRA Commons
3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.
Note that if a PD/PI is also an NIH peer-reviewer with an Individual DUNS and CCR registration, that particular DUNS number and CCR registration are for the individual reviewer only. These are different than any DUNS number and CCR registration used by an applicant organization. Individual DUNS and CCR registration should be used only for the purposes of personal reimbursement and should not be used on any grant applications submitted to the Federal Government.
Several of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their organization/institution is already registered in both Grants.gov and the Commons. The NIH will accept electronic applications only from organizations that have completed all necessary registrations.
1. Request Application Information
Applicants must download the SF424 (R&R)
application forms and SF424 (R&R) Application Guide for this FOA through Grants.gov/Apply.
Note: Only the forms package
directly attached to a specific FOA can be used. You will not be able to use
any other SF424 (R&R) forms (e.g., sample forms, forms from another FOA),
although some of the "Attachment" files may be useable for more than
one FOA.
For further assistance, contact GrantsInfo: Telephone
301-710-0267, Email: GrantsInfo@nih.gov.
Telecommunications for the hearing impaired: TTY
301-451-5936.
2. Content and Form of Application Submission
Prepare all applications using the SF424 (R&R) application forms and in accordance with the SF424 (R&R) Application Guide (MS Word or PDF).
The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to NIH. There are fields within the SF424 (R&R) application components that, although not marked as mandatory, are required by NIH (e.g., the Credential log-in field of the Research & Related Senior/Key Person Profile component must contain the PD/PI’s assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications.
The SF424 (R&R) application is comprised of data arranged in separate components. Some components are required, others are optional. The forms package associated with this FOA in Grants.gov/APPLY will include all applicable components, required and optional. A completed application in response to this FOA will include the following components:
Required
Components:
SF424 (R&R) (Cover component)
Research & Related Project/Performance Site
Locations
Research & Related Other Project Information
Research & Related Senior/Key Person
PHS398 Cover Page Supplement
PHS398 Research Plan
PHS398 Checklist
PHS398 Modular Budget
Optional
Components:
PHS398 Cover Letter File
Research & Related Subaward Budget Attachment(s)
Form
Note: While both budget components are included in the SF424 (R&R) forms package, the NIH R21 uses ONLY the PHS398 Modular Budget. (Do not use the detailed Research & Related Budget.)
Foreign Organizations
Several special provisions apply to applications submitted
by foreign organizations:
Proposed research should provide special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions in other countries that are not readily available in the United States or that augment existing U.S. resources.
3. Submission Dates and
Times
See Section IV.3.A for
details.
3.A. Submission, Review, and
Anticipated Start Dates
Opening Date: September 27, 2006 (Earliest date an
application may be submitted to Grants.gov)
Letter of
Intent Receipt Date(s): October 30, 2006
Application Submission Date(s): November 27, 2006
Peer
Review Date(s): February-March, 2007
Council Review Date(s): May, 2007
Earliest Anticipated Start Date(s): July 1, 2007
3.A.1. Letter of Intent
Prospective applicants are asked to submit a letter of intent that includes the following information:
Although a letter of intent is
not required, is not binding, and does not enter into the review of a
subsequent application, the information that it contains allows IC staff to
estimate the potential review workload and plan the review.
The letter of intent is to be sent by the date listed
in Section IV.3.A.
The letter of intent should be sent to:
Lis
Nielsen, Ph.D.
Behavioral
and Social Research Program
National
Institute on Aging
7201
Wisconsin Ave., #533
Bethesda, MD 20892-9205
Telephone:
(301) 402-4156
Fax:
(301) 402-0051
Email: nielsenli@nia.nih.gov
A letter of intent is not required for this funding opportunity.
3.B. Submitting an Application Electronically to the
NIH
To submit an application in response to this FOA, applicants should access this
FOA via http://www.grants.gov/Apply and follow steps 1-4. Note: Applications must only be submitted
electronically. PAPER APPLICATIONS WILL NOT BE ACCEPTED.
In order to expedite the review, applicants are requested to notify the National Institute on Aging Scientific Review Office by email (NekolaM@nia.nih.gov) when the application has been submitted. Please include the FOA number and title, PD/PI name, and title of the application.
3.C.
Application Processing
Applications may be submitted on or after
the opening date and must be successfully received by Grants.gov no
later than 5:00 p.m. local time (of the
applicant institution/organization) on the
application submission/receipt date(s). (See Section IV.3.A. for all dates.) If an application is not submitted by the receipt
date(s) and time, the application may be delayed in the review process or not
reviewed.
Once an application package has been successfully submitted through Grants.gov, any errors have been addressed, and the assembled application has been created in the eRA Commons, the PD/PI and the Authorized Organization Representative/Signing Official (AOR/SO) have two business days to view the application image.
Upon receipt, applications will
be evaluated for completeness by the Center for Scientific Review, NIH.
Incomplete applications will not be reviewed.
There will be an acknowledgement of receipt of
applications from Grants.gov and the Commons. Information related to the
assignment of an application to a Scientific Review Group is also in the Commons.
The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. However, when a previously unfunded application, originally submitted as an investigator-initiated application, is to be submitted in response to a funding opportunity, it is to be prepared as a NEW application. That is, the application for the funding opportunity must not include an Introduction describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.
4.
Intergovernmental Review
This initiative is not subject to intergovernmental
review.
5.
Funding Restrictions
All NIH awards are subject to the terms and
conditions, cost principles, and other considerations described in the NIH Grants
Policy Statement.
Pre-Award Costs are allowable. A grantee may, at
its own risk and without NIH prior approval, incur obligations and expenditures
to cover costs up to 90 days before the beginning date of the initial budget
period of a new award if such costs: are necessary to conduct the project, and
would be allowable under the grant, if awarded, without NIH prior approval. If
specific expenditures would otherwise require prior approval, the grantee must
obtain NIH approval before incurring the cost. NIH prior approval is required
for any costs to be incurred more than 90 days before the beginning date of the
initial budget period of a new award.
The incurrence of pre-award costs in anticipation of a
competing or non-competing award imposes no obligation on NIH either to make
the award or to increase the amount of the approved budget if an award is made
for less than the amount anticipated and is inadequate to cover the pre-award
costs incurred. NIH expects the grantee to be fully aware that pre-award costs
result in borrowing against future support and that such borrowing must not
impair the grantee's ability to accomplish the project objectives in the
approved time frame or in any way adversely affect the conduct of the project.
See the NIH Grants
Policy Statement.
6. Other Submission
Requirements
The NIH requires the PD/PI to fill in his/her Commons User ID in the PROFILE Project Director/Principal Investigator section, Credential
log-in field of the Research & Related Senior/Key Person Profile
component. The applicant organization must include its DUNS number in its
Organization Profile in the eRA Commons. This DUNS number must match the DUNS
number provided at CCR registration with Grants.gov. For additional
information, see Registration FAQs Important Tips -- Electronic Submission
of Grant Applications.
Warning: Please be sure that you observe the direct cost, project period, and page number limitations specified above for this FOA. Application processing may be delayed or the application may be rejected if it does not comply with these requirements.
Research Plan Component Sections
The R21 mechanism limits the research plan to 15 pages. While each section of the Research Plan component needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan component as a single document, separating sections into distinct PDF attachments just before uploading the files. This approach will enable applicants to better monitor formatting requirements such as page limits. All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a pdf extension must be used.
Appendix Materials
The following materials may be included in the Appendix:
Plan for Sharing Research Data
Not applicableSharing Research Resources
Not applicable
Section V. Application Review Information
1. Criteria
Only the review criteria described below will be
considered in the review process.
2. Review and Selection
Process
Applications that are complete and responsive to the FOA will be evaluated for
scientific and technical merit by an appropriate peer review group convened by the National Institute on Aging in accordance with the review criteria stated below.
As part of the initial merit review, all applications
will:
Applications submitted in response to this funding opportunity will compete for available funds with all other recommended applications. The following will be considered in making funding decisions:
The goals of NIH supported research are to advance our understanding of biological systems, to improve the control of disease, and to enhance health. In their written critiques, reviewers will be asked to comment on each of the following criteria 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 an 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.
Significance: Does this study address an important scientific health problem? If the aims of
the application are achieved, how will scientific knowledge or clinical
practice be advanced? What will be the effect of these studies on the concepts,
methods, technologies, treatments, services, or preventative interventions that
drive this field?
Approach: Are the conceptual or clinical framework, design, methods,
and analyses adequately developed, well integrated, well reasoned, and
appropriate to the aims of the project? Does the applicant acknowledge
potential problem areas and consider alternative tactics?
Innovation: Is the project original and innovative? For example: Does
the project challenge existing paradigms or clinical practice; address an
innovative hypothesis or critical barrier to progress in the field? Does the
project develop or employ novel concepts, approaches, methodologies, tools, or
technologies for this area?
Investigators: Are the investigators appropriately trained and well suited
to carry out this work? Is the work proposed appropriate to the experience
level of the PD/PI and other researchers? Does the investigative team bring
complementary and integrated expertise to the project (if applicable)?
Environment: Does the scientific environment in which the work will be
done contribute to the probability of success? Do the proposed studies benefit
from unique features of the scientific environment, or subject populations, or
employ useful collaborative arrangements? Is there evidence of institutional
support?
2.A. Additional Review Criteria:
In addition to the above criteria, the following items
will continue to be considered in the determination of scientific merit and the
priority score:
Protection of Human Subjects from
Research Risk: The involvement of
human subjects and protections from research risk relating to their
participation in the proposed research will be assessed. See item 6 of the
Research Plan component of the SF424 (R&R).
Inclusion of Women and Minorities in
Research: The adequacy of plans to
include subjects from both genders and all racial and ethnic groups (and
subgroups) as appropriate for the scientific goals of the research will be
assessed. Plans for the recruitment and retention of subjects will also be
evaluated. See item 7 of the Research Plan component of the SF424 (R&R).
Care and Use of Vertebrate Animals in
Research: If vertebrate animals are to
be used in the project, the five items described under item 11 of the Research
Plan component of the SF424 (R&R) will be assessed.
Biohazards: If materials or procedures are proposed that are
potentially hazardous to research personnel and/or the environment, determine
if the proposed protection is adequate.
2.B. Additional Review
Considerations
Budget and Period of Support: The reasonableness of the proposed budget
and the appropriateness of the requested period of support in relation to the
proposed research may be assessed by the reviewers. Is the number of person
months listed for the effort of the PD/PI appropriate for the work proposed? Is
each budget category realistic and justified in terms of the aims and methods?
2.C. Sharing Research Data
Not Applicable.
2.D. Sharing Research Resources
Not applicable.
3. Anticipated Announcement and
Award Dates
Not applicable.
Section
VI. Award Administration Information
1. Award Notices
After the peer review of the application is completed, the PD/PI will be able
to access his/her Summary Statement (written critique) via the NIH eRA Commons.
If the application is under consideration for funding, NIH
will request "just-in-time" information from the applicant. For
details, applicants may refer to the NIH
Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards,
Subpart A: General.
A formal notification in the form of a Notice of Award
(NoA) will be provided to the applicant organization. The NoA signed by the
grants management officer is the authorizing document. Once all administrative
and programmatic issues have been resolved, the NoA will be generated via email
notification from the awarding component to the grantee business official.
Selection of an application for award is not an
authorization to begin performance. Any costs incurred before receipt of the
NoA are at the recipient's risk. These costs may be reimbursed only to the extent
considered allowable pre-award costs. See Section IV.5.,
Funding Restrictions.
2.
Administrative and National Policy Requirements
All NIH grant and cooperative agreement awards include
the NIH Grants Policy Statement as part of the NoA. For these terms of
award, see the NIH
Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards,
Subpart A: General and Part
II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions
for Specific Types of Grants, Grantees, and Activities.
3. Reporting
When multiple years are involved, awardees will be
required to submit the Non-Competing Grant
Progress Report (PHS 2590) annually and financial statements as required in
the NIH
Grants Policy Statement.
Section
VII. Agency Contacts
We encourage your inquiries
concerning this funding opportunity and welcome the opportunity to answer
questions from potential applicants. Inquiries may fall into three areas:
scientific/research, peer review, and financial or grants management issues:
1. Scientific/Research
Contacts:
Lis
Nielsen, Ph.D.
Behavioral
and Social Research Program
National
Institute on Aging
7201
Wisconsin Ave., #533
Bethesda,
MD 20892-9205
Telephone:
(301) 402-4156
Fax:
(301) 402-0051
Email: nielsenli@nia.nih.gov
2. Peer Review Contacts:
Dr.
Mary Nekola, Chief
Scientific
Review Office
National
Institute on Aging
7201
Wisconsin Ave., #2C/212
Bethesda,
MD 20814
Telephone:
(301) 402-7702
Fax:
(301)402-0066
Email: NekolaM@nia.nih.gov
3. Financial or Grants
Management Contacts:
Mr.
Richard Proper, Grants Management Specialist
Grants
and Contracts Management Office
National
Institute on Aging
7201
Wisconsin Ave., #2N/212
Bethesda,
MD 20892-N9205
Telephone:
(301) 402-7735
Fax
(301) 402-3672
Email: ProperR@nia.nih.gov
Section VIII. Other Information
Required Federal Citations
Use of Animals in Research:
Recipients of PHS support for activities involving
live, vertebrate animals must comply with PHS Policy on Humane Care and Use of
Laboratory Animals (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf)
as mandated by the Health Research Extension Act of 1985 (http://grants.nih.gov/grants/olaw/references/hrea1985.htm),
and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm)
as applicable.
Human Subjects Protection:
Federal regulations (45 CFR 46) require that
applications and proposals involving human subjects must be evaluated with
reference to the risks to the subjects, the adequacy of protection against
these risks, the potential benefits of the research to the subjects and others,
and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).
Data and Safety Monitoring Plan:
Data and safety monitoring is required for all types
of clinical trials, including physiologic toxicity and dose-finding studies
(phase I); efficacy studies (Phase II); efficacy, effectiveness and comparative
trials (Phase III). Monitoring should be commensurate with risk. The
establishment of data and safety monitoring boards (DSMBs) is required for
multi-site clinical trials involving interventions that entail potential risks
to the participants ( NIH Policy for Data and Safety Monitoring, NIH Guide
for Grants and Contracts, http://grants.nih.gov/grants/guide/notice-files/not98-084.html).
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 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 http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
Applicants may wish to place data collected under this funding opportunity 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 this award.
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 Law 103-43). All
investigators proposing clinical research should read the "NIH Guidelines
for Inclusion of Women and Minorities as Subjects in Clinical Research (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines is available at http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
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 SF424 (R&R) application; 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 Clinical
Research:
The NIH maintains a policy that children (i.e.,
individuals under the age of 21) must be included in all clinical research,
conducted or supported by the NIH, unless there are scientific and ethical
reasons not to include them.
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 (http://grants.nih.gov/grants/funding/children/children.htm).
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 applications
for research involving human subjects and individuals designated as key
personnel. The policy is available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
NIH Public Access Policy:
NIH-funded investigators are requested to submit to
the NIH manuscript submission (NIHMS) system (http://www.nihms.nih.gov) at
PubMed Central (PMC) an electronic version of the author's final manuscript
upon acceptance for publication, resulting from research supported in whole or
in part with direct costs from NIH. The author's final manuscript is defined as
the final version accepted for journal publication, and includes all
modifications from the publishing peer review process.
NIH is requesting that authors submit manuscripts
resulting from 1) currently funded NIH research projects or 2) previously
supported NIH research projects if they are accepted for publication on or
after May 2, 2005. The NIH Public Access Policy applies to all research grant
and career development award mechanisms, cooperative agreements, contracts, Institutional
and Individual Ruth L. Kirschstein National Research Service Awards, as well as
NIH intramural research studies. The Policy applies to peer-reviewed, original
research publications that have been supported in whole or in part with direct
costs from NIH, but it does not apply to book chapters, editorials, reviews, or
conference proceedings. Publications resulting from non-NIH-supported research
projects should not be submitted.
For more information about the Policy or the
submission process, please visit the NIH Public Access Policy Web site at http://publicaccess.nih.gov/
and view the Policy or other Resources and Tools, including the Authors' Manual.
Standards for Privacy of Individually Identifiable
Health Information:
The Department of Health and Human Services (HHS)
issued final modification to the "Standards for Privacy of Individually
Identifiable Health Information", the "Privacy Rule", on August 14, 2002. The Privacy Rule is a federal regulation under the Health Insurance
Portability and Accountability Act (HIPAA) of 1996 that governs the protection
of individually identifiable health information, and is administered and enforced
by the HHS Office for Civil Rights (OCR).
Decisions about applicability and implementation of
the Privacy Rule reside with the researcher and his/her institution. The OCR
website (http://www.hhs.gov/ocr/)
provides information on the Privacy Rule, including a complete Regulation Text
and a set of decision tools on "Am I a covered entity?" Information
on the impact of the HIPAA Privacy Rule on NIH processes involving the review,
funding, and progress monitoring of grants, cooperative agreements, and
research contracts can be found at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html
URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding
must be self-contained within specified page limitations. For publications
listed in the appendix and/or Progress report, internet addresses (URLs) must be used for publicly accessible on-line journal articles. Unless
otherwise specified in this solicitation, Internet addresses (URLs)
should not be used to provide any other information necessary for
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 FOA 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 at http://www.cfda.gov/ and is not
subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made
under the authorization of Sections 301 and 405 of the Public Health Service
Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part
52 and 45 CFR Parts 74 and 92. All awards are subject
to the terms and conditions, cost principles, and other considerations
described in the NIH
Grants Policy Statement.
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 people.
Loan Repayment Programs:
NIH encourages applications for educational loan
repayment from qualified health professionals who have made a commitment to
pursue a research career involving clinical, pediatric, contraception,
infertility, and health disparities related areas. The LRP is an important
component of NIH's efforts to recruit and retain the next generation of
researchers by providing the means for developing a research career unfettered
by the burden of student loan debt. Note that an NIH grant is not required for
eligibility and concurrent career award and LRP applications are encouraged.
The periods of career award and LRP award may overlap providing the LRP
recipient with the required commitment of time and effort, as LRP awardees must
commit at least 50% of their time (at least 20 hours per week based on a 40
hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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