This Program Announcement expires on (July 1, 2004) unless reissued.


Release Date:  April 12, 2001

PA NUMBER:  PA-01-082 (see replacement PA-04-123)

National Institute on Aging



The National Institute on Aging (NIA) is seeking small grant (R03) applications 
to: 1) stimulate and facilitate secondary analyses of data and data archiving 
related to demography, economics, and behavioral research on aging; 2) provide 
support for preliminary projects using secondary analysis that could lead to 
subsequent applications for other research project grant award mechanisms; 3) 
provide support for rapid analyses of new databases and experimental modules 
for purposes such as informing the design and content of future study waves; 
and 4) provide support for the development, enhancement and assembly of new 
databases from existing data. The announcement updates and replaces a previous 
Program Announcement, Secondary Analysis in Demography and Economics of Aging 
(PA-99-160, issued September 2, 1999).


The Public Health Service (PHS) is committed to achieving the health promotion 
and disease prevention objectives of "Healthy People 2010," a PHS led national 
activity for setting priority areas. This Program Announcement (PA), DATA 
AGING, is related to one or more of the priority areas.  Potential applicants 
may obtain a copy of "Healthy People 2010" at


Applications may be submitted by domestic and foreign for-profit and non-profit 
organizations, public and private, such as universities, colleges, hospitals, 
laboratories, units of State and local governments, and eligible agencies of
the Federal government. Racial/ethnic minority individuals, women, and persons 
with disabilities are encouraged to apply as principal investigators. 
Participation in the program by investigators at minority institutions is 
strongly encouraged.  Applications from new investigators and researchers new 
to aging are particularly encouraged. Applicants based at foreign-institutions 
should note the relevant section of Research Objectives below.


The mechanism of support will be the small grant (R03).  Applicants may request 
either $25,000 or $50,000 in direct costs per year for up to two years through 
the small grant (R03) mechanism.  Some preference may be given to one year 
projects. It is expected that most of the analyses proposed in response to this 
announcement can be completed within a year. However, a few analyses, 
especially those that propose to link multiple datasets or involving 
collaborations among several sites may take more than one year. For this reason 
up to two years of research may be supported. The particular reason or reasons 
for requesting the second year of support must be stated in the budget 
justification. The grants will be awarded under Expanded Authorities and are 
eligible for a single one-year no cost extension. These awards are not 
renewable.  If applicable, before completion of the R03, investigators are 
encouraged to seek continuing support for research through other grant award 
mechanisms.  Replacement of the Principal Investigator on this award is not 

Specific application instructions have been modified to reflect "MODULAR GRANT" 
and "JUST-IN-TIME" streamlining efforts being examined by NIH. Complete and 
detailed instructions and information on Modular Grant applications can be 
found at:


Approximately $1,000,000 (total costs) will be available to fund 10 to 15 small 
grants each fiscal year, contingent on high scientific merit and program 


This Small Grant Program is designed to:  support researchers interested in 
undertaking secondary analyses of data related to demography, economics, and 
behavioral research on aging; provide support for preliminary projects using 
secondary analysis that could lead to subsequent applications for individual 
research awards; provide support for rapid analyses of new databases and 
experimental modules for purposes such as informing the design and content of 
future study waves; and provide support for publicly archiving datasets 
(including salient psychological and sociological data) relevant to 
demographic, economic, and behavioral analyses of the older population. 
International comparative analyses are encouraged.  Applications which are 
innovative and high risk with the likelihood for high impact are especially 
encouraged.  See also National Institute on Aging: Pilot Research Grant Program 
which permits original data collection on several of the topics below (PA-01-
037 also available at

o  Biodemography of aging:  including the demographic aspects of heritability 
and familial aggregation of disease and longevity; incorporation of genetic, 
biological, and disease variables into demographic models and age-specific 
mortality rates; the social roles of the elderly in nature; and biological 
mediators of the relationship between socio-economic status and health.  (See 
Between Zeus and the Salmon: The Biodemography of Longevity. Washington, DC: 
National Academy Press, 1997 and Cells and Surveys: Should Biological Measures 
Be Included in Social Science Research? Washington, DC: National Academy Press, 
2001.  Both available at

o  Ethical, legal, social, and economic implications of human genetic studies 
on aging. How would attrition rates be affected in longitudinal projects, how 
does collection of DNA influence willingness to participate in aging studies in 
general, and what are the larger factors (i.e. health insurance and privacy 
issues) that pose concern to study participants? Research assessing demographic 
factors (e.g., age, sex, race/ethnicity) is also critical to understanding 
cultural differences in perceptions of genetic research and the role of these 
demographic differences for the issues outlined herein. 

o  Investigation of trends in chronic disease and disability, especially of the 
factors underlying the recent trend in declining disability, in the older 
population. Determination and estimation of causal factors underlying the trend 
(e.g. medical technological interventions, health care access and use, early 
life experiences, education, biomedical and social research advances, healthy 
lifestyle behaviors, public health measures). International comparative 
analyses of declining disability in countries with different institutional and 
family structures are encouraged.

o  Analysis of the factors that trigger movement of the elderly through various 
living arrangements, from independent living through the various forms of long-
term care, and the functional and health-related outcomes associated with 
residential options available to older persons. 

o  Estimation of the impact of changes in the functional status of the older 
population on Medicare and other health care costs.  Estimation of the impact 
of medical interventions on future lifetime health care costs.

o  Economic analyses of the impact of aging-related biomedical and social 
research and resulting new technologies and interventions.  Estimation of the 
impact of health (including links with geography and demography) on economic
development, especially in developing countries. (See The World Health Report 
1999: Making a Difference.  World Health Organization.  Also available at

o  Measurement of the magnitude and socio-economic consequences of burden of 
illness in the older population.  Improved analysis and methodology to allocate 
and impute burden of illness, given the importance of comorbidity in the older 
population.  Improved analysis and methodology to allocate burden by disease 
and disability.  (See The World Health Report 1999: Making a Difference.  World 
Health Organization.  Also available at

o  Modeling risk factor trajectories and trends in non-communicable disease 
disability and mortality in developed and developing countries, with emphasis 
on aging populations. Analyses and projections of the epidemiological 
transition in developing countries. (See Murray, C.J.L. and Lopez, A.D. 1996.  
Evidence-Based Health Policy -- Lessons from the Global Burden of Disease 
Study.  Science, 274, 740- 743). Demographic and economic impact of HIV/AIDS on 
population structure and the elderly, particularly in Africa and other 
developing countries.)

o  Evaluations and simulations of the impact of changes in DHHS and SSA 
policies (e.g. changing the age of eligibility for Medicare and Social Security 
benefits, and expanding coverage to include prescription drugs) on the health 
and functioning of the older population.

o  Health, work and retirement, including:  implications of population aging 
for public and private retirement programs and for income security of future 
retirees (See Assessing Knowledge of Retirement Behavior. Washington, DC: 
National Academy Press. 1996 and Assessing Policies for Retirement Income: 
Needs for Data, Research, and Models. Washington, DC: National Academy Press, 
1997. Both available at; implications of women's life 
history (e.g., temporary exits from the labor force for child rearing and 
caregiving of older parents) on retirement income and savings adequacy; 
implications for late-life health and financial security of the timing of 
demographic events such as marriage, child-rearing, widowhood, etc.; 
determinants of retirement, family labor supply, and saving; consequences of 
retirement for health and functioning; comparative studies of labor force 
activity; effects of psychological factors (e.g. expectations, risk taking, 
personality, altruism, time preferences, etc.) and mental health 
characteristics (e.g. depression) on economic behaviors (e.g. savings and 
transfers); economic and demographic analyses of employer- and organizational-
level determinants of labor force participation at older ages.

o  Interactions between health and socio-economic status (and their cumulative 
relationship) over time and across generations; relationship between health and 
wealth; role of social cohesion as a mediating factor; improved measures of 
socioeconomic position for aging populations; improved understanding of the 
mechanisms underlying associations between socio-economic status and health; 
economic determinants of health promotion and disease prevention behaviors.

o  Studies of health disparities, including the health of small geographic 
areas and of diverse racial and ethnic older populations. Variables of interest 
include the effects of lifelong poverty, birth weight, access to and 
utilization of employer-provided health insurance, recency and circumstances of 
immigration; the strain of physically demanding work; occupation; wealth, 
income and early-life health status; and experiences of discrimination.  (See 
Racial and Ethnic Differences in the Health of Older Americans. Washington, DC: 
National Academy Press. 1997; available at

o  Studies examining the impact of social relationships (e.g., social network 
structures, types, levels and quality of social support) on cognitive decline 
and dementia. Also, demography and economics of dementia and Alzheimer's 
Disease in older populations.

o  General demographic analyses of population aging, including: cohort analyses 
of aging, including the baby boom cohort; implications of changing family 
structures on caregiving needs; historical demographic and epidemiological 
research on the aging process and on the determinants of health and mortality 
in older populations; forecasting life and active life expectancy, health, 
medical services and long term care usage; migration and immigration; the 
impact of state and small area characteristics on health; improved descriptive 
analyses of centenarian populations; macro and micro dynamics of 
intergenerational exchanges; use of public and private resources in the period 
before death; and comparative international analyses of population aging using 
Census and other data.  (See Demography, 34: 1. February 1997; and Demography 
of Aging. Washington DC: National Academy Press. 1994.  Also available at

o  Analyses of bibliometric, citation, scientific labor force and other 
databases to map trends and emerging frontiers in aging research and the 
assessment of progress and evaluation of the impact of social and behavioral 

o  Linking data sets for the purpose of conducting analyses (i.e. meta-
analyses, mega-analyses). Applications are encouraged that combine raw data 
from different data collections to be mined in new and innovative ways in order 
to achieve new research aims, and/or to permit more breadth, precision, and 
reliability than can be achieved by the analysis of data from an isolated 
research study.

Priority will be given to proposals undertaking secondary analysis of publicly 
available datasets of high Congressional and NIA priority, such as the Health 
and Retirement Study (HRS) (see The Journal of Human Resources, 30. Supplement 
1995), Asset and Health Dynamics of the Oldest-Old (AHEAD) (see The Journals of 
Gerontology Series B, 52B. Special Issue, May 1997), and the National Long Term 
Care Survey (NLTCS) (See Manton et al. 1997. Chronic Disability Trends in
Elderly United States Populations: 1982-1984.  Proc. Natl. Acad. Sci., 94, 
2593-2598).  Other datasets supported by NIA which are in the public domain 
include: Alameda County Study; Australian Longitudinal Study of Aging (ALSA); 
Current Population Survey (CPS); Early Indicators of Later Work Levels, 
Disease, and Death; Epidemiology of Chronic Disease in the Oldest Old; 
Established Populations for Epidemiologic Studies of the Elderly (EPESE); 
Hispanic EPESE; German Socio-Economic Panel (GSOEP); Indonesian Family Life 
Survey (IFLS); Longitudinal Study of Aging (LSOA); Supplement on Aging II (SOA 
II); Luxembourg Income Study (LIS); Malaysian Family Life Survey (MFLS); 
National Survey of Self Care Behaviors; National Longitudinal Survey (NLS): 
1990 Resurvey of Older Males; National Survey of Families and Households (NSFH) 
Reinterview; Odense Archive of Population Data on Aging; Panel Study of Income 
Dynamics (PSID); 1990 Public-Use Microdata Sample for the Older Population and 
the comparable samples from ECE countries (collected by the UN/ECE/PAU); the 
Wisconsin Longitudinal Survey (WLS); the National Growth and Change Study 
(NGCS); and The Wechsler Adult Intelligence Scale Archives (NIA-WAIS) on Aging 
and Multiple Cognitive Abilities. Applicants are also encouraged to consider 
analysis using data from the Longitudinal Employer-Household Dynamics Project 
that links worker and firm data at the Census Bureau. Information about these 
and other datasets that have been supported entirely or in part by the NIA, 
including instructions on how the data can be accessed, can be found in 
“Publicly Available Databases for Aging-Related Secondary Analyses in the 
Behavioral and Social Sciences,” available in hard copy or on the web at

Applicants are especially encouraged to refer to the Minority Aging and Health 
CD-Rom from the National Archive of Computerized Data on Aging (NACDA) offered 
to the research community through funding provided by NIA (Beta Release 
Fall/Winter 2000).

A number of important datasets and archives are based in European and other 
countries (e.g., British birth cohorts, country-specific population registers). 
Many of these data sets offer unique insights into aging and are important aids 
in interpreting patterns of aging in the U.S. Domestic investigators are 
encouraged to collaborate with researchers at these foreign sites in order to 
access these datasets. Foreign-based investigators are also encouraged to apply 
for funding directly where it is clear that both the expertise and the data set 
are at the foreign institution and of value to understanding aging in the U.S.

Since replication is a fundamental tenet of science, applicants should provide 
compelling justification for using data which are restricted because of 
confidentiality, privacy, international or other legal considerations.

Information on other initiatives supported by NIA may be found at the following 
Internet address:


It is the policy of the NIH that women and members of minority groups and their 
sub-populations must be included in all NIH-supported biomedical and behavioral 
research projects involving human subjects, unless a clear and compelling 
rationale and justification are provided indicating that inclusion is 
inappropriate with respect to the health of the subjects or the purpose of the 
research.  This policy results from the NIH Revitalization Act of 1993 (Section 
492B of Public Law 103-43). 

All investigators proposing research involving human subjects should read the 
UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research," published in the NIH Guide for Grants and Contracts on 
August 2, 2000 
 complete copy of the updated Guidelines are available at  The 
revisions relate to NIH defined Phase III clinical trials and require: a) all 
applications or proposals and/or protocols to provide a description of plans to 
conduct analyses, as appropriate, to address differences by sex/gender and/or 
racial/ethnic groups, including subgroups if applicable; and b) all 
investigators to report accrual, and to conduct and report analyses, as 
appropriate, by sex/gender and/or racial/ethnic group differences.


All applications and proposals for NIH funding must be self-contained within 
specified page limitations.  Unless otherwise specified in an NIH solicitation, 
Internet addresses (URLs) should not be used to provide information necessary 
to the review because reviewers are under no obligation to view the Internet 
sites.  Reviewers are cautioned that their anonymity may be compromised when 
they directly access an Internet site.


Applications are to be submitted on grant application form PHS 398 (rev. 4/98) 
and prepared according to the directions in the application packet, with the 
exceptions noted below.  Applications will be accepted on or before the receipt 
dates indicated in the application kit: February 1, June 1 and October 1 for 
new applications; March 1, July 1, and November 1 for amended applications. 
Only one Small Grant application may be submitted by a principal investigator 
per receipt date. Applicants may not submit other research project grant 
applications on the same topic concurrent (to be considered at the same review 
cycle) with the submission of a Small Grant application.

Application kits are available at most institutional offices of sponsored 
research and may be obtained from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 
7910, Bethesda, MD 20892-7910, Phone (301) 710-0267, Email: GRANTSINFO@NIH.GOV. 
Applications are also available on the Internet at On the face page of 

Research plan: Do not exceed a total of ten pages for the following parts (a-
d): Specific aims, Background and Significance, Progress Report/Preliminary 
Studies, and Experimental Design and Methods. Tables and figures are included 
in the ten page limitation.  Applications that exceed the page limitation or 
PHS requirements for type size and margins (Refer to PHS 398 application for 
details) will be returned to the investigator.  The ten page limitation does 
not include parts e through i. (Human Subjects, Vertebrate Animals, Literature 
Cited, Consortium Arrangements, Consultants).  For amended applications, an 
Introduction not exceeding one page is permitted. No appendix materials are 

Submit a signed, typewritten, original of the application, including the 
checklist and five signed photocopies in one package to:

BETHESDA, MD 20892-7710
BETHESDA, MD 20817 (for express/courier service)


RESEARCH ON AGING small grant program will follow modular procedures for 
application and award (see also ). 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.


Modular Grant applications for the DATA ANALYSIS AND ARCHIVING IN DEMOGRAPHY, 
ECONOMICS, AND BEHAVIORAL RESEARCH ON AGING small grant program may request 
direct costs in $25,000 modules, up to a total direct cost request of $50,000 
per year.  The total direct costs must be requested in accordance with the 
program guidelines and the modifications made to the standard PHS 398 
application instructions described below:

PHS 398

o  FACE PAGE:  Items 7a and 7b should be completed, indicating Direct Costs (in 
$25,000 increments) and Total Costs [Modular Total Direct plus Facilities and 
Administrative (F&A) costs] for the first year budget period.  

of the PHS 398.  It is not required and will not be accepted with the 

categorical budget table on Form Page 5 of the PHS 398.  It is not required and 
will not be accepted with the application.

o  NARRATIVE BUDGET JUSTIFICATION - Use a Modular Grant Budget Narrative page. 
(See for sample 
pages.) At the top of the page, enter the total direct costs requested. 
Applicants requesting two years of support should justify the second year 

o  Under Personnel, list all project personnel, including their names, percent 
of effort, and roles on the project. No individual salary information should be 
provided. However, the applicant should use the NIH appropriation language
salary cap and the NIH policy for graduate student compensation in developing 
the budget request.

For Consortium/Contractual costs, provide an estimate of total costs direct 
plus facilities and administrative) for each year, each rounded to the nearest 
$1,000.  List the individuals/organizations with whom consortium or contractual 
arrangements have been made, the percent effort of all personnel, and the role 
on the project. Indicate whether the collaborating institution is foreign or 
domestic. The total cost for a consortium/contractual arrangement is included 
in the overall requested modular direct cost amount. Include the Letter of 
Intent to establish a consortium.

Provide an additional narrative budget justification for any variation in the 
number of modules requested.

o  BIOGRAPHICAL SKETCH - The Biographical Sketch provides information used by 
reviewers in the assessment of each individual's qualifications for a specific 
role in the proposed project, as well as to evaluate the overall qualifications 
of the research team.  A biographical sketch is required for all key personnel, 
following the instructions below.  No more than three pages may be used for 
each person.  A sample biographical sketch may be viewed at:

- Complete the educational block at the top of the form page;
- List position(s) and any honors;
- Provide information, including overall goals and responsibilities, on 
research projects ongoing or completed during the last three years;
- List selected peer-reviewed publications, with full citations.

o  CHECKLIST - This page should be completed and submitted with the 
application.  If the F&A rate agreement has been established, indicate the type 
of agreement and the date. All appropriate exclusions must be applied in the 
calculation of the F&A costs for the initial budget period.

o  The applicant should provide the name and phone number of the individual to 
contact concerning fiscal and administrative issues if additional information 
is necessary following the initial review.

Applications not conforming to these guidelines will be considered unresponsive 
to this PA and will be returned without further review.


Allowable costs include support for public archiving, development, enhancement, 
and assembly of datasets relevant to demographic and economic analysis of the 
older population.


Applications will be assigned on the basis of established Public Health Service 
referral guidelines.  Applications that are complete will be evaluated for 
scientific and technical merit by an appropriate peer review group convened in 
accordance with NIH peer review procedures. As part of the initial merit 
review, all applications will receive a written critique and undergo a process 
in which only those applications deemed to have the highest scientific merit, 
generally the top half of applications under review, will be discussed and 
assigned a priority score. Applications submitted by foreign organizations or 
institutions receive a second level review by the appropriate national advisory 
council or board.

Review Criteria
o  Significance:  Does this study address an important problem?  If the aims of 
the application are achieved, how will scientific knowledge be advanced? What 
will be the effect of these studies on the concepts or methods that drive this 

o  Approach:  Are the conceptual framework, design, methods, and analyses 
adequately developed, well-integrated, and appropriate to the aims of the 
project?  Does the applicant acknowledge potential problem areas and consider
alternative tactics?

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

o  Investigator:  Is the investigator appropriately trained and well suited to 
carry out this work?  Is the work proposed appropriate to the experience level 
of the principal investigator and other researchers (if any)?

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

Additional factors to be considered:

The initial review group will also examine: the likelihood that the project 
will lead to significant advancement of aging research; the appropriateness of 
proposed project budget and duration; the adequacy of coverage of both genders 
and minorities and their subgroups in the dataset proposed for the secondary 
analysis, as appropriate for the scientific goals of the study; the adequacy of 
the proposed dataset to protect the identifiability of human subjects; and the 
safety of the research environment.


Applications will compete for available funds with all other recommended 
applications.  The following will be considered in making funding decisions:

o  Quality of the proposed project as determined by peer review
o  Availability of funds
o  Program priority.


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

For information about the datasets described above, send your inquiry to:

Elayne Heisler, Ph.D. 
Social Science Analyst
Behavioral and Social Research Program
Population and Social Processes Branch 
National Institute on Aging 
7201 Wisconsin Ave, Suite 533
Bethesda, MD 20892-9205
Telephone: (301) 496-3138
FAX : (301) 402-0051

Direct inquiries about specific issues related to the incorporation of 
biological and genetic information to:
Jennifer Harris, PhD
Behavioral and Social Research Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 533, MSC 9205
Bethesda, MD 20892-9205
Telephone: (301) 496-3138
FAX: (301) 402-0051
Email:  jh475o@NIH.GOV

Direct inquiries regarding all other programmatic issues to:
Rose Maria Li, MBA, PhD
Behavioral and Social Research Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 533, MSC 9205
Bethesda, MD  20892-9205
Telephone:  (301) 496-3138
FAX:  (301) 402-0051
Email:  rl26b@NIH.GOV (e-mail correspondence is preferred)

Direct inquiries regarding fiscal matters to:
Linda Whipp
Grants and Contracts Management Office
National Institute on Aging
7201 Wisconsin Avenue, Suite 2N212, MSC 9205
Bethesda, MD  20892
Telephone:  (301) 496-1472
FAX:  (301) 402-3672
Email:  lw17m@NIH.GOV (e-mail correspondence is preferred)


This program is described in the Catalog of Federal Domestic Assistance No. 
93.866. Awards are made under authorization of sections 301 and 405 of the 
Public Health Service Act as amended (42 USC 241 and 284) and administered 
under NIH grants policies and Federal Regulations 42 CFR 52 and 45 CFR Parts 74 
and 92. This program is not subject to the intergovernmental review 
requirements of Executive Order 12372 or Health Systems Agency review.
The PHS strongly encourages all grant and contract recipients to provide a 
smoke-free workplace and promote the non-use of all tobacco products.  In 
addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking 
in certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care or early childhood 
development services are provided to children.  This is consistent with the PHS 
mission to protect and advance the physical and mental health of the American 

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