Full Text HS-95-002 GRANTS FOR HEALTH SERVICES DISSERTATION RESEARCH NIH GUIDE, Volume 23, Number 31, August 19, 1994 RFA: HS-95-002 P.T. 34 Keywords: Health Services Delivery Health Care Administration Agency for Health Care Policy and Research Application Receipt Date: January 24, 1995 PURPOSE The Agency for Health Care Policy and Research (AHCPR) announces the availability of a request for applications (RFA) for grants for health services dissertation research. The AHCPR conducts and supports research that will enhance the quality, appropriateness, and effectiveness of health care services, and access to such services. The provision of dissertation grant support is part of AHCPR's effort to stimulate the development of innovative and timely research on issues related to the delivery of health care services. Grant support is designed to aid the career development of new health services researchers and to encourage individuals from a variety of academic disciplines and programs to study complex issues with respect to health care services. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. AHCPR urges applicants to submit grant applications with relevance to the specific objectives of this initiative. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS A student applying for a dissertation research grant (the Principal Investigator) must be enrolled in an accredited doctoral degree program in the social, management, medical, or health sciences. The student also must be conducting or intending to conduct dissertation research on issues related to the delivery of health care services as described below. The proposed principal investigator must be a registered doctoral candidate in resident or nonresident status. All requirements for the doctoral degree other than the dissertation must be completed by the time of the award. Prior to submission of the application, the dissertation proposal must be approved by the dissertation faculty committee and certified by the faculty advisor. This information must be verified in a letter of certification from the thesis chairperson and submitted with the grant application (see APPLICATION PROCEDURES). The applicant may be either the public or private nonprofit institution that will administer the grant on behalf of the proposed Principal Investigator or the proposed Principal Investigator applying as an individual. Applications from minority and women investigators are encouraged. A proposed Principal Investigator for dissertation research grant support need not be a citizen of the United States. However, an investigator who is not a U.S. citizen and does not have a permanent resident visa must apply through a public or private nonprofit institution. Also, an application from a student enrolled in a foreign institution will be accepted if the application is in English and the investigator applies through an institution. The proposed investigator who receives support for dissertation research under a grant from the AHCPR may not at the same time receive support under a predoctoral training grant or fellowship grant awarded by any other agency of the U.S. Department of Health and Human Services. MECHANISM OF SUPPORT This RFA will employ the small research grant (R03) mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the proposed principal investigator. The total direct costs must not exceed $20,000 for the entire project period. An application that exceeds this amount will be returned to the applicant. The proposed principal investigator may request support only for the amount of time necessary to complete the dissertation. A dissertation research grant usually is awarded for a period of 12 months or less, but may be awarded for up to 17 months. FUNDS AVAILABLE The AHCPR expects to award up to $500,000 in fiscal year 1995 to support about 20 dissertation research projects. The number of awards will be contingent on the availability of funds and the quality of the applications. RESEARCH OBJECTIVES Only applications that propose studies in areas identified in section 902 of the Public Health Service Act are eligible for support. Areas of health services research authorized under section 902 in which AHCPR is interested in dissertation grants include, but are not limited to: o Effectiveness, efficiency, and quality of health care services; o Outcomes of health care services and procedures; o Clinical practice, including primary care and practice-oriented research; o Health care costs, productivity, and market forces; o Health care technologies, facilities, and equipment; o Health promotion and disease prevention; o Medical liability; o AIDS/HIV infection with respect to issues of access and delivery of health care services; o Rural health services; and o Health of low-income, minority, elderly, and other underserved populations. Applicants are encouraged to discuss the general policy priority of their research topics by letter or by telephone with AHCPR staff listed under INQUIRIES. SPECIAL REQUIREMENTS Allowable Costs Expenses usually allowed under PHS research grants will be covered by AHCPR dissertation research grants. Allowable costs include: the investigator's salary; direct project expenses such as travel, data processing, and supplies; and, for institutional applicants only, indirect costs. Fees for maintaining matriculation or other fees imposed on those preparing dissertations are allowable costs, provided the fees are required of all students of similar standing, regardless of the source of funding. Applicants are expected to work full time on the project. Any level of effort that is less than full time must be fully justified. For the purpose of calculating indirect costs, dissertation research grants are considered to be training grants. Therefore, in accordance with PHS policy, indirect costs, payable only when the applicant is an institution, are limited to eight percent of total allowable direct costs exclusive of tuition and related fees and expenditures for equipment, or at the institution's actual indirect cost rate, whichever results in a lesser dollar amount. Other Conditions The following conditions apply to dissertation grants: o A Principal Investigator who discontinues or suspends a project during the grant period must inform the AHCPR immediately in writing. The AHCPR may suspend or terminate the grant as requested by the Principal Investigator or on its own initiative. o The dissertation constitutes the final report of the grant. The dissertation must be officially accepted by the faculty committee or university official responsible for the candidate's dissertation and must be signed by the responsible officials. Three copies of the dissertation must be submitted to the AHCPR. o The dissertation and all financial status reports must be submitted in English. STUDY POPULATIONS INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of AHCPR that women and members of minority groups must be included in all AHCPR supported health services research projects involving human subjects, unless a clear and compelling rationale and justification are provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. A new NIH policy resulting from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43) supersedes and strengthens NIH's previous policies (Concerning the Inclusion of Women in Study Populations, and Concerning the Inclusion of Minorities in Study Populations), which were in effect since 1990 and which AHCPR had adopted. The new NIH policy contains some provisions that are substantially different from the 1990 policies. AHCPR plans to publish guidelines specific to AHCPR. In the interim, AHCPR will follow the NIH guidelines, as applicable. All investigators proposing research involving human subjects should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research," published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and reprinted in the NIH Guide for Grants and Contracts, Volume 23, Number 11, March 18, 1994. Investigators also may obtain copies of the NIH policy from the AHCPR program staff listed under INQUIRIES. AHCPR program staff may also provide additional relevant information concerning this policy. APPLICATION PROCEDURES The application receipt date is January 24, 1995. The research grant application form PHS 398 (rev. 9/91) is to be used in applying for these grants, in accordance with the instructions described here and the instructions in the application. These forms are available at most institutional offices of sponsored research; the Office of Grants Information, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone (301) 710-0267; and, for AHCPR applications, from Global Exchange Inc., 7910 Woodmont Avenue, Suite 400, Bethesda, MD 20814-3015, telephone (301) 656-3100 (FAX 301-652-5264). The RFA label available in the PHS 398 application form must be affixed to the bottom of the face page of the original copy 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, type "RFA HS-95-002" in Section 2a on the face page of the application form and the YES box must be marked. The completed, signed, original application and five legible copies of form PHS 398 and the letter from the faculty committee must be sent or delivered to: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** Applications submitted under this RFA must be received in the Division of Research Grants, NIH, by January 24, 1995. If an application is received after that date, it will be returned to the applicant. An application that does not conform to the instructions in this RFA will be returned. Resubmitted applications are seldom funded. Therefore, individuals considering resubmissions are strongly encouraged to contact the Dissertation Program Coordinator, at the address listed in INQUIRIES below, prior to resubmitting revised applications. Special Instructions Whenever feasible, the proposed Principal Investigator for a dissertation grant is encouraged to have the application administered through an institution. This may be either the degree-granting institution or another non-profit institution with which the proposed Principal Investigator is professionally affiliated. In determining which institution is more appropriate, the student must consider the extent to which the resources of the designated institution are capable of supporting the proposed research effort. A letter from the faculty committee or university official directly responsible for supervising the development and progress of the dissertation research must be submitted with the application. The letter must (1) certify approval of the dissertation proposal, (2) certify that all requirements for the doctoral degree except the dissertation are completed (or will be completed by the time of the grant award), and (3) note that the faculty committee expects the doctoral candidate to proceed with the approved dissertation proposal with or without AHCPR support. The application must identify all members of the faculty advisory committee, by listing the information in form 398, page 2, and providing a brief separate biographical sketch for each on form 398, page 6. Applicants for a dissertation grant should take special care in reading the instructions in the research grant application form PHS 398. Special care should be taken to thoroughly understand and carefully address the matters of human subject certifications and assurances, including issues related to gender and minority representation, as described in the application form PHS 398 (especially pages 11-13, 21-23, and 25-26). In the instructions for the form PHS 398, "human subject" is defined by regulations as "a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual or (2) identifiable private information." The human subject regulations encompass graphic, written, or recorded information derived from individually identifiable human subjects. Applicants also should take careful note of the instructions on form 398, page 2, for preparing the description in the space designated. This description should be carefully crafted because it serves a variety of purposes and audiences. Initially it is employed in the application review process and serves as a significant criterion in the initial evaluation of the competitiveness of the application. Applicants are advised to have their faculty advisor(s) carefully review the description. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed by the Referral Office, Division of Research Grants, NIH, for completeness, and by AHCPR staff for responsiveness to the RFA. Incomplete and nonresponsive applications will be returned to the applicant without further consideration. The determination of any application as nonresponsive will be the sole responsibility of AHCPR. The general review criteria for AHCPR grant agreement applications are: significance and originality from a scientific and technical viewpoint; adequacy of the proposed method(s); availability of data or proposed plan to collect data required for the project; adequacy of the plan for organizing and carrying out the project; qualifications and experience of the principal investigator and proposed staff; reasonableness of the proposed budget; and adequacy of the facilities and resources available to the applicant. Dissertation research grant applications will be reviewed under AHCPR review procedures by non-Federal or Federal experts. Reviewers will be selected on the basis of their health services research accomplishments and knowledge and their experience in research career development. Because reviews are rigorous, considerable methodological detail is important in the narrative of the application. All elements of the application will be considered in the review process. Primary emphasis will be given to the significance, scientific merit, and feasibility of the project. Applications may be subject to triage to determine their scientific merit relative to other applications received in response to this RFA. The AHCPR will withdraw from further competition those applications judged by triage to be noncompetitive for award and notify the Principal Investigator and institutional official. Those applications judged to be competitive will undergo further scientific merit review. Review results and funding decisions will be announced approximately six months after the submission date. Special review criteria, funding decisions, and continuation of support are described below. Applications will be evaluated in accordance with the criteria stated above for scientific/technical merit and the special review criteria listed below by an appropriate AHCPR peer review group. Special Review Criteria Applications are reviewed to determine their suitability in four major areas: problem or policy significance, research design, investigator's qualifications and support structure, and budgetary appropriateness. Problem Significance o The project is focused on a significant problem or policy in the delivery of health care. o The methodology or anticipated results of the project have national interest, provide a basis for generalized conclusions, or have important practical applicability. Research Design o The problem to be addressed by the research is clearly defined. o The application reflects an adequate knowledge of other research related to the problem. o Questions to be answered or hypotheses to be tested are well formulated and clearly stated. o Research methodology is fully described, including, where applicable, explanation of sampling procedures, description of types and sources of data to be gathered, discussion of methodological problems expected to be encountered, and description of specific analyses to be undertaken. o The application adequately describes the plans for managing the project, including a tentative schedule for the main steps of the investigation within the project period requested. Investigator's Qualifications and Support Structure o The applicant shows promise as a health services research investigator. o The applicant's experience and training are sufficient to carry out the research. o The available facilities and organizational arrangements are appropriate to the research. o Faculty advice, composition of dissertation committee, and support are suitable to the research being undertaken, as evidenced by the letter of support. Budgetary Appropriateness o The allocation of time and money reflects an understanding of the research tasks to be accomplished and of the problems likely to arise. o Where appropriate and feasible, the proposed approach uses data available or being collected through government and other sources. AWARD CRITERIA Applications will compete for available funds with all other applications for this RFA. The following will be considered in making funding decisions: quality of the proposed project as determined by peer review, and availability of funds. The earliest anticipated date of award for applications will be August 1, 1995. INQUIRIES Those considering applying in response to this RFA are strongly encouraged to discuss their project with AHCPR program administrators before formal submission. The AHCPR welcomes the opportunity to clarify any issues or questions from potential applicants. Direct inquiries regarding programmatic issues, including suitability of their research topics and information on the policy of inclusion of women and minorities in study populations, to: Julius Pellegrino, Dissertation Program Coordinator Center for General Health Services Extramural Research Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 502 Rockville, MD 20852 Telephone: (301) 594-1357 ext.138 Direct inquiries regarding fiscal and administrative matters to: Ralph L. Sloat, Grants Management Officer Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 601 Rockville, MD 20852 Telephone: (301) 594-1447 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance, No. 93.226. Awards are made under authorization of the Public Health Service Act, Title IX and Section 1142 of the Social Security Act. Awards are administered under the PHS Grants Policy Statement and Federal Regulations 42 CFR Part 67, Subpart A, and 45 CFR Part 74 (45 CFR Part 92 for State and local governments). This program is not subject to the intergovernmental review requirements of Executive Order 12372. .
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