DEVELOPING, TESTING AND IMPLEMENTING INNOVATIVE INTERVENTIONS FOR ADHD

Release Date:  January 21, 2000

RFA:  MH-00-005

National Institute of Mental Health

Letter of Intent Receipt Date:  March 13, 2000
Application Receipt Date:  April 27, 2000

THIS RFA USES "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS.  THIS RFA INCLUDES 
DETAILED MODIFICATIONS TO STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED 
WHEN PREPARING AN APPLICATION IN RESPONSE TO THIS RFA.

PURPOSE

The National Institute of Mental Health (NIMH) invites research grant 
applications to study the development, refinement, or implementation of 
preventive, behavioral or other innovative interventions for children at risk 
for or diagnosed with Attention-deficit/Hyperactivity Disorder (ADHD) and co-
occurring disruptive behavior problems.  Participants of the 1998 NIH Consensus 
Development Conference on the Diagnosis and Treatment of ADHD specifically 
recommended scientific research on behavioral interventions and their 
application to diverse service settings.  In response to this recommendation, 
this RFA encourages highly focused research applications that build on emerging 
findings from treatment studies of ADHD, revealing how children with different 
symptom profiles and needs respond to different types of interventions.  This 
RFA is meant to particularly encourage two new areas of research:  (1) the 
development, testing and refinement of new intervention approaches, including 
preventive interventions, applicable to a range of settings; or (2) the study of 
the implementation or dissemination of already-tested and effective treatment or 
service interventions into diverse settings, with an emphasis on those factors 
that sustain those interventions over time.  Given the degree of impairment 
noted in ADHD children additional to core symptoms, it is an NIMH priority to 
understand the impact of interventions on a range of outcomes, including 
functional improvements, such as academic achievement, learning, and attendance.  
Intervention development includes the conceptualization, development, 
standardization, and/or testing (pilot testing, field studies, or small scale 
experiments) of a theory-driven, empirically based intervention approach.  
Intervention implementation and dissemination refers to the study of the 
transportability of service or treatment interventions that have been shown to 
be effective under controlled conditions, and to those factors that impede or 
facilitate the widespread adoption of interventions into service systems.

NIMH remains committed to supporting a broad program of research concerned with 
the etiology, diagnosis, assessment and treatment of ADHD that will be 
emphasized in subsequent research announcements.

Collaboration between basic scientists and clinical researchers in response to 
this RFA, especially in the development of new interventions, are strongly 
encouraged.  Furthermore, because approaches to identifying and intervening with 
children diagnosed with ADHD typically involve multiple points of contact 
(parents, educators, physicians, etc.) applications are encouraged from a wide 
range of disciplines and efforts to involve key stakeholders in different 
systems are especially encouraged.  Because individual child variables (e.g., 
comorbid symptoms such as aggressive behavior, hyperactive and inattentive ADHD 
diagnostic subtypes, and age) are likely to affect the impact, implementation 
and sequencing of intervention strategies, the NIMH also strongly encourages 
applications to address these co-occurring problems in the development of new 
interventions or the implementation of established interventions, and to 
investigate the impact of such factors on treatment outcomes.

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.  This Request for Applications (RFA), 
Developing and Testing Innovative Interventions for ADHD, is related to the 
priority area of Mental Health and Mental Disorders.  Potential applicants may 
obtain a copy of "Healthy People 2000" at 
http://odphp.osophs.dhhs.gov/pubs/hp2000/

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.  Foreign institutions are not eligible for R03 grants.  
Racial/ethnic minority individuals, women, and persons with disabilities are 
encouraged to apply as Principal Investigators.

MECHANISM OF SUPPORT

This RFA will use the following research grant mechanisms:  Research Project 
Grants (RO1), Small Grants (R03), Exploratory/Developmental Grants for Mental 
Health Intervention Research (R21), and the Collaborative R01s for Clinical 
Studies of Mental Disorders award mechanisms.  The Small Grant (R03) provides 
two years of funding with a maximum of $50,000 direct costs for each year.  The 
Exploratory/Developmental Grant (R21) provides three years of funding with an 
average of $125,000 direct costs for each year; it is intended for pilot testing 
of interventions and other aspects of intervention development.  The research 
Project Grant R01) provides up to five years of funding that is commensurate 
with the science proposed.  Responsibility for the planning, direction, and 
execution of the proposed project will be solely that of the applicant.  The 
total project period for an application submitted in response to this RFA may 
not exceed five years.  This RFA is one-time solicitation.  Future unsolicited 
competing continuation applications will compete with all investigator-initiated 
applications and be reviewed according to the customary peer review procedures.  
The anticipated award date for this RFA is September 29, 2000.

For all competing R03, R21, and R01 applications requesting up to $250,000 
direct costs per year, specific application instructions have been modified to 
reflect “MODULAR GRANT” and “JUST IN TIME” streamlining efforts being undertaken 
at NIH.  More detailed information about modular grant applications, including 
sample budget narrative justification pages and a sample biographical sketch, is 
available via the Internet at: 
http://grants.nih.gov/grants/funding/modular/modular.htm.  Applications that 
request more than $250,000 in any year must use the standard PHS 398 (rev. 4/98) 
application instructions.

Because the small grants have special eligibility requirements, application 
formats, and review criteria, applicants are strongly encouraged to consult 
program staff (listed under INQUIRIES) and to obtain the appropriate additional 
announcements for those grant mechanisms.  This is found at:  
http://grants.nih.gov/grants/guide/pa-files/PAR-99-140.html  Special 
requirements and instructions for “COLLABORATIVE R01s FOR CLINICAL STUDIES OF 
MENTAL DISORDERS” may be found at 
http://grants.nih.gov/grants/guide/pa-files/PAR-98-017.html  Special requirements 
and instructions for “EXPLORATORY/DEVELOPMENT GRANTS FOR MENTAL HEALTH INTERVENTION 
RESEARCH” may be found at 
http://grants.nih.gov/grants/guide/pa-files/PA-99-134.html 

FUNDS AVAILABLE

The NIMH intends to commit approximately $2,000,000 in FY 2000 to fund 
approximately 10 new and/or competitive continuation grants in response to this 
RFA.  Because the nature and scope of the research proposed may vary, it is 
anticipated that the size of each award will also vary.  It is expected that the 
direct costs for all R03s and R21s, as well as the R01 applications requesting 
up to $250,000 will be awarded in modules of $25,000; however, program and 
grants management adjustments may be necessary prior to award.  Although the 
financial plans of the Institute provide support for this program, awards 
pursuant to this RFA are contingent upon the availability of funds and the 
receipt of a sufficient number of applications of outstanding scientific and 
technical merit.  R03s and R21s are not renewable.

RESEARCH OBJECTIVES

Background

ADHD is a commonly diagnosed behavioral disorder of childhood that represents a 
costly major public health problem.  There is an increasing awareness that some 
children diagnosed with ADHD also experience pronounced difficulties and 
impairment resulting from the disorder across multiple settings (home, school, 
and with peers).  Children with ADHD often experience long-term adverse effects 
on academic performance, vocational success, and socio-emotional development.  
In addition, some of these children are at increased risk for oppositional 
behavior, antisocial behavior, conduct problems and/or violence, and are overly 
represented in the justice system.  Consequently, it is critical that educators, 
parents, and service providers be equipped with the appropriate tools to help 
children with ADHD realize their learning potential and prevent a range of 
problem behaviors and later impairment in adolescence and adulthood.

Core symptoms of ADHD include developmentally inappropriate levels of attention, 
concentration, activity, distractibility, and impulsivity.  The fourth edition 
of the Diagnostic and Statistical Manual (DSM-IV) describes three different 
subtypes of ADHD:  primarily hyperactive/impulsive, primarily inattentive, and a 
combined subtype.  The majority of research on ADHD children has focused on the 
combined subtype of ADHD.  Consequently, less is known about the course, diverse 
needs, and appropriate interventions for children diagnosed with the 
hyperactive/impulsive and inattentive subtypes.  In addition, ADHD rarely 
presents itself in isolation.  It is estimated that 40-90 percent of children 
with ADHD present with comorbid aggression or conduct problems, 25 percent with 
comorbid anxiety disorders, and 15-20 percent with comorbid mood disorders.  
Given the heterogeneous nature of ADHD, the presentation of ADHD symptoms and 
comorbid conditions vary widely across gender, ethnicity, and age.  
Consequently, effective diagnosis and intervention strategies will likely take 
symptom presentation, comorbidity, and demographic features into consideration.

Effective treatments for ADHD have been evaluated 14-months post-intervention; 
however, the majority of studies examine treatment effects only for short term 
(approximately 3 months).  Treatment outcome studies have included randomized 
clinical trials that have established the efficacy of stimulants for alleviating 
the core symptoms of ADHD, associated aggressiveness, and oppositional conduct 
problems; medication appears to have mixed effects on academic achievement.  
Initial findings of the NIMH sponsored multi-site treatment study of children 
diagnosed with ADHD (MTA) suggests that the combination of medication management 
and behavioral intervention may have a slightly greater impact on positive 
functioning outcomes (e.g., reading achievement, parent/child relations) than 
medication alone.  Furthermore, the MTA provided evidence that ADHD children 
with various comorbid conditions likely respond differentially to treatment 
modalities.  For instance, children with ADHD and comorbid anxiety may be less 
responsive to stimulant medications and more receptive to behavioral 
interventions.  These findings suggest the importance of patient-tailored 
intervention strategies; however, there is still relatively little information 
on matching children and families to treatments to which they will be most 
responsive.  Although evidence suggests that family variables (e.g., parental 
psychopathology, marital discord) and/or child variables (e.g., diagnostic 
subtype, comorbid symptoms) affect the implementation and sequencing of certain 
strategies, there is a need to further investigate these factors and their 
impact on treatment outcomes.  This match between child characteristics, 
intervention components, and treatment needs has not been adequately studied.

Little attention has been paid to development of preventive interventions for 
children who are at-risk for the development of attentional problems; yet these 
children are often seen in pediatric health clinics, in preschools, or in 
childcare settings, such as HeadStart programs.  Attention to the development of 
early preventive interventions for young children with risk profiles are greatly 
needed.

Information on service use and patterns of care indicate that the majority of 
children with ADHD who receive any services receive those that are school-based 
or medical; fewer families appear to pursue independent outpatient psychiatric 
or general mental health services.  Survey reports indicate that teachers use a 
variety of interventions for children with ADHD in the classroom, including 
changing seat arrangement, behavior modification, shortened assignments, peer 
tutoring, parent/teacher daily report cards, and frequent breaks.  Other school-
based approaches include peer tutoring, social skills training and 
paraprofessional classroom aids.  Research studies to expand the evidence base 
for the effectiveness of these interventions on academic and mental health 
outcomes for individual children are limited.  For those interventions validated 
in controlled studies, there is a further need to study their generalizability 
across multiple school or pediatric settings as well as the factors that mediate 
their sustainability in these different contexts.  In addition, other more 
broadly implemented school-based behavior modification interventions need to be 
further refined and systematically studied for their impact on children with 
ADHD.

Care for children with ADHD in medical settings is presumed to be most typically 
medication management, with limited behavioral interventions.  One quarter of 
pediatricians report never having referred their ADHD patients to tertiary 
medical centers or mental health clinics.  Questions remain about the potential 
relationship between behavioral interventions in these settings and family or 
child treatment adherence and/or follow-up practices.  Little is known about the 
types of behavioral interventions most amenable to implementation or 
collaboration within health care settings.  Given the service use patterns of 
children with ADHD and their families, the development of innovative and 
flexible interventions with applications to school and medical settings are 
especially important.

The NIH consensus conference found little evidence of coordination across public 
or private service sectors, such that care for children with ADHD and their 
families is often fragmented across social, educational, justice and health 
service systems.  Furthermore, there appeared to be poor consistency in the 
treatment and follow-up for children with ADHD, and these factors impede the 
widespread adoption of treatment strategies for these children and their 
families.  The conference also noted a lack of connection between basic science 
research and interventions.  Models are therefore needed which facilitate the 
communication of medical practitioners, school personnel and families with 
regard to medication management and the incorporation of behavioral 
interventions and their follow-up.  With this RFA, NIMH is encouraging 
researchers to collaborate with a variety of service providers and professionals 
(teachers, pediatricians, day care professionals, etc.) in developing, testing, 
refining, or implementing interventions for children with ADHD and co-occurring 
disruptive behaviors.  Particularly with respect to intervention development, 
this RFA is encouraging collaboration between basic behavioral scientists and 
clinical researchers to facilitate the translation of basic science research on 
the cognitive/neurological processes related to ADHD (such as information 
processing, attention regulation, memory) into new, theory-driven intervention 
approaches.

Listed below are examples of research areas and questions that could advance 
scientific knowledge on intervention development and implementation for children 
with ADHD.  The list is not exhaustive, and it is expected that additional 
important research topics may be identified by those who respond to the 
announcement.  Potential applicants are strongly encouraged to contact program 
staff listed at the end of this document for further information regarding the 
following research areas.  Studies in these areas can include, but are not 
limited to:

o  Studies that pursue the development and testing of new interventions for ADHD 
children grounded in principles drawn from research in the basic sciences.  
Research questions might include:  Given our understanding of basic attention 
regulation, general executive functioning, or long and short-term memory, how 
might a classroom environment or teaching strategies be structured to facilitate 
learning or social development for a child with ADHD?  What tools or performance 
tasks appropriately measure outcomes in this context?  How would intervention 
strategies differ for the different diagnostic subtypes of ADHD and comorbidity 
clusters?

o  Studies on the development of indicated prevention interventions for children 
at risk for developing ADHD (e.g., preschool children demonstrating early-onset 
ADHD symptoms).  Such work may draw upon findings from the basic sciences on 
early attentional regulation or upon epidemiological studies of at-risk 
populations that identify malleable risk factors for the development of ADHD and 
co-occurring disruptive behavior problems.  Research questions may include:  
What risk factors can be targeted for early prevention efforts?  What kinds of 
preventive programs can be tested to develop new parenting strategies that pre-
empt the development of problems?  What strategies in home or school 
environments strengthen the opportunities for positive behavior change?

o  Studies which pursue the development and testing of novel behavioral 
interventions designed for pre-school, school, home, or medical settings with 
clinically complex and diverse children.  Potential research questions might 
include:  What are the short term effects of these interventions on child 
symptoms as well as functional outcomes, particularly academic achievement, 
family relationships, and peer group status?  What new intervention strategies 
are needed for the different diagnostic subtypes of ADHD and comorbidity 
clusters?

o  The development and testing of new or refined school-wide, classroom, 
individual, or some combination of school interventions designed to increase 
academic achievement, appropriate social development and decrease conduct 
problems among ADHD children.  Research projects might examine the effects of 
novel classroom strategies on a range of functional, symptom, and service 
outcomes.  Research questions might include:  What are the effects of these new 
interventions on functional improvement, subtype-specific ADHD symptoms, and 
comorbid symptoms?  What are the effects on individual children, in particular 
on symptom reduction for children with ADHD and associated conduct problems?  
What are the effects on child-related symptom or functional improvement of new 
interventions designed to target school or classroom context?

o  Studies of the implementation process for efficacious interventions with 
attention to the effects of the sequencing of intervention components on 
outcomes.  For example, if an intervention that has been demonstrated to be 
effective under controlled conditions is implemented in an applied setting, what 
effect does the implementation have upon current practice parameters in that 
setting?  Does the implementation of a tested behavioral intervention influence 
follow-up procedures or patient medication adherence?

o  Studies of the implementation or dissemination process whereby 
interdisciplinary interventions or established treatments, such as medication 
monitoring procedures, are used to facilitate collaboration among physicians, 
school professionals, and families of children with ADHD.  Research questions 
could include:  What are the effects of pediatric consultation to schools on 
family service utilization, medication management strategies, physician 
practices, school referrals for ADHD evaluation, teacher practices, and child 
symptom and functional outcomes?  What types of short-form symptom assessment 
tools are particularly useful and valid in medication management across school, 
home, and physician settings?  What frequency and type of school/physician 
contact is necessary to adequately monitor child response to medication?

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 
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 
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 
"NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research," which was published in the Federal Register of March 28, 1994 (FR 59 
14508-14513) and in the NIH Guide for Grants and Contracts, Vol. 23, No. 11, 
March 18, 1994, available on the web at:
http://grants.nih.gov/grants/guide/notice-files/not94-100.html

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of NIH that children (i.e., individuals under the age of 21) 
must be included in all human subjects research, conducted or supported by the 
NIH, unless there are scientific and ethical reasons not to include them.  This 
policy applies to all initial (Type 1) applications submitted for receipt dates 
after October 1, 1998.

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" that was published in the NIH Guide for 
Grants and Contracts, March 6, 1998, and is available at the following URL 
address: http://grants.nih.gov/grants/guide/notice-files/not98-024.html

Investigators also may obtain copies of the policy from the program staff listed 
under INQUIRIES.  Program staff may also provide additional relevant information 
concerning the policy.

LETTER OF INTENT

Prospective applicants are asked to submit a letter of intent that includes a 
descriptive title of the proposed research, the name, address, and telephone 
number of the Principal Investigator, the identities of other key personnel and 
participating institutions, and the number and title of the RFA in response to 
which the application may be submitted.  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 Institute staff to estimate 
the potential review workload and avoid conflict of interest in the review.

The letter of intent is to be sent to Dr. Heather Ringeisen at the address 
listed under INQUIRIES by March 13, 2000.

APPLICATION PROCEDURES

The research grant application form PHS 398 (rev. 4/98) is to be used in 
applying for these grants.  These forms are available at most institutional 
offices of sponsored research and from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 
7910, Bethesda, MD 20892-7910, telephone (301) 435-0714, Email: 
GrantsInfo@nih.gov.  The application is also available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html

SPECIFIC APPLICATION INSTRUCTIONS FOR MODULAR GRANTS

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 will request direct costs in $25,000 modules, up to a 
total direct cost request of $250,000 per year.  (Applications that request more 
than $250,000 direct costs in any year must follow the traditional PHS 398 
application instructions.)  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 initial budget period.  Items 8a and 8b 
should be completed indicating the Direct and Total Costs for the entire 
proposed period of support.

o  DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD:  Do not complete Form Page 4 
of the PHS 398 (rev 4/98).  It is not required nor will it be accepted at the 
time of application.

o  BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT:  Do not complete the 
categorical budget tables on page 5 of the PHS 398 (rev. 4/98) Form.  It is not 
required nor will it be accepted at the time of application.

o  NARRATIVE BUDGET JUSTIFICATION - Prepare 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 for each 
year.  This is not a Form page.

o  Under Personnel, list key 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 key 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 and all future budget years.

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.

The RFA label available in the PHS 398 (rev. 4/98) application form must be 
affixed to the bottom of the face page of the application and must display the 
RFA number MH-00-005.  A sample modified mailing label is available at: 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.  Please note this is 
in pdf format.  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, Developing and Testing 
Innovative Interventions for ADHD MH-00-005, must be typed on line 2 of the face 
page of the application form and the YES box must be marked.

Submit a signed, typewritten original of the application, including the 
Checklist, and three 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)

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

Heather Ringeisen, Ph.D. 
National Institute of Mental Health
Division of Mental Disorders, Behavioral Research and AIDS 
Developmental Psychopathology and Prevention Research Branch
6001 Executive Boulevard, Room 6200  MSC 9617
Bethesda, MD 20892-9617

Applications must be received by April 27, 2000.  If an application is received 
after that date, it will be returned to the applicant without review.

The Center for Scientific Review (CSR) 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 CSR 
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.

REVIEW CONSIDERATIONS

Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by the NIMH staff.  Incomplete and/or non-responsive applications 
will be returned to the applicant without further consideration.

Applications that are complete and responsive to the RFA will be evaluated for 
scientific and technical merit by an appropriate peer review group convened by 
NIMH in accordance with the review criteria stated below.  As part of the 
initial merit review, a process will be used by the initial review group in 
which applications 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 the applications under review, will be discussed, assigned a 
priority score, and receive a second level review by the National Advisory 
Council or Board.

Review Criteria

The goals of NIH-supported research are to advance our understanding of 
biological systems, improve the control of disease, and enhance health.  In the 
written comments reviewers will be asked to discuss the following aspects of the 
application 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 the 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.

(1) 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?

(2) 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?

(3) Innovation:  Does the project employ novel concepts, approaches or methods?  
Are the aims original and innovative?  Does the project challenge existing 
paradigms or develop new methodologies or technologies?

(4) 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)?

(5) Environment:  Does the scientific environment in which the work will be done 
contribute to the probability of success?  Do the proposed experiments take 
advantage of unique features of the scientific environment or employ useful 
collaborative arrangements?  Is there evidence of institutional support?

In addition to the above criteria, in accordance with NIH policy, all 
applications will also be reviewed with respect to the following:

o  The adequacy of plans to include both genders, minorities and their 
subgroups, and children as appropriate for the scientific goals of the research.  
Plans for the recruitment and retention of subjects will also be evaluated.

o  The reasonableness of the proposed budget and duration in relation to the 
proposed research

o  The adequacy of the proposed protection for humans, animals or the 
environment, to the extent they may be adversely affected by the project  
proposed in the application.

Schedule

Letter of Intent Receipt Date: March 13, 2000
Application Receipt Date: April 27, 2000
Peer Review Date: June/July 2000
Council Review: September 2000
Earliest Anticipated Start Date: September 29, 2000

AWARD CRITERIA

Award criteria that will be used to make award decisions include:

o  scientific merit (as determined by peer review)
o  availability of funds
o  programmatic priorities.

INQUIRIES

Inquiries concerning this RFA are encouraged.  The opportunity to clarify any 
issues or questions from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

For questions regarding the development, testing, or refinement of preventive 
and/or treatment interventions, contact:

Heather Ringeisen, Ph.D.
National Institute of Mental Health
Division of Mental Disorders, Behavioral Research and AIDS
Developmental Psychopathology and Prevention Research Branch
6001 Executive Boulevard, Room 6200, MSC 9617
Bethesda, MD 20892-9617
Telephone:  (301) 443-9263
FAX:  (301) 480-4415
Email: hringeis@mail.nih.gov

For questions regarding the implementation or dissemination of efficacious 
interventions contact:

Kimberly Hoagwood, Ph.D.
Associate Director of Child and Adolescent Research
National Institute of Mental Health
6001 Executive Boulevard, Room 7131, MSC 9131
Bethesda, MD 20892-9131
Telephone:  (301) 443-3364
FAX:  (301) 443-4045
Email:  khoagwoo@nih.gov

Direct inquiries regarding fiscal matters to:

Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone: (301) 443-2805
FAX:  (301) 443-6885
Email:  Diana_Trunnell@nih.gov

AUTHORITY AND REGULATIONS

This program is described in the Catalog of Federal Domestic Assistance No. 
93.242.  Awards are made under authorization of the Public Health Service 5600 
Fishers Lane Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 
99-158, 42 USC 241 and 285) and administered under PHS grants policies and 
Federal Regulations 42 CFR 52 and 45 CFR Part 74.  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.  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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