NINR SMALL GRANT RESEARCH PROGRAM

RELEASE DATE:  July 1, 2002

PA NUMBER:  PA-02-120

EXPIRATION DATE:  June 28, 2005, unless reissued. 

National Institute of Nursing Research (NINR) 
 (http://www.ninr.nih.gov)

THIS PA CONTAINS THE FOLLOWING INFORMATION

o Purpose of the PA
o Research Objectives
o Mechanism of Support 
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Where to Send Inquiries
o Submitting an Application
o Peer Review Process
o Review Criteria
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS PA

The National Institute of Nursing Research (NINR) is seeking small grant 
(R03) applications in specific areas to 1) stimulate and facilitate the entry 
of promising new investigators into nursing research and 2) encourage 
established investigators to enter new targeted, high priority areas in this 
research field.  This Small Grant (R03) program provides support for pilot, 
feasibility and methodology development research that is likely to lead to a 
subsequent individual research project grant (R01) focused on a key 
scientific area identified in the NINR strategic plan.

RESEARCH OBJECTIVES

The National Institute of Nursing Research supports clinical and basic 
research to establish a scientific basis for the care of individuals across 
the lifespan from management of patients during illness and recovery to the 
reduction of risks for disease and disability, the promotion of healthy 
lifestyles, promoting quality of life in those with chronic illness, and care 
for individuals at the end of life. This research may also include families 
within a community context. According to its broad mandate, the Institute 
seeks to understand and ease the symptoms of acute and chronic illness, to 
prevent or delay the onset of disease or disability or slow its progression, 
to find effective approaches to achieving and sustaining good health, and to 
improve the clinical settings in which care is provided. Nursing research 
involves clinical care in a variety of settings including the community and 
home in addition to more traditional health care sites. The NINR"s research 
extends to problems encountered by patients, families, and caregivers. It 
also focuses on the special needs of at-risk and under-served populations, 
with an emphasis on health disparities. These efforts are crucial in the 
creation of scientific advances and their translation into cost-effective 
health care that does not compromise quality.

Applications may be submitted for this Small Grant Research Program if they 
address one of the following topics which are derived from the NINR Strategic 
Plan (http://www.ninr.nih.gov/research/diversity/mission.html) and listed 
below.  

1. Cultural and ethnic considerations in health and illness, including 
culturally sensitive interventions to decrease health disparities among 
groups by focusing upon health promotion activities and chronic illness 
management strategies. 

2. End-of-life/palliative care research.  NINR is currently the lead 
institute at NIH for this area of research and is focusing on clinical 
management of physical and psychological symptoms, communication, ethics and 
clinical decision-making, caregiver support, and care delivery issues.

3. Health promotion and disease prevention research, particularly as they 
relate to lifestyle changes and healthy behavior maintenance across the 
lifespan.

4. Symptom management, including pain, cognitive impairment, fatigue, nausea 
and vomiting, sleep problems, and others.

Scope

The R03 award supports small research projects that can be carried out in a 
short period of time, with limited resources. Examples of the types of 
projects that NINR will support with the R03 include the following:

o Pilot and feasibility studies
o Small, self-contained research projects
o Projects by investigators changing research directions
o Innovative research for which success may be less certain
o Development of new research methods or validation of new technology
o Novel methods of analysis, including meta-analysis or secondary data 
analysis

Investigators may contact the program director whose area includes the 
project"s main aims for additional information.  Staff contact information is 
provided under WHERE TO SEND INQUIRIES, below.

MECHANISM OF SUPPORT 

This PA will use the NIH R03 award mechanism.  As an applicant, you will be 
solely responsible for planning, directing, and executing the proposed 
project.  The total project period for an application submitted in response 
to the PA may not exceed two years.  You may request up to $50,000 direct 
costs per year.  These grants may not be renewed.  

Small grant support is for new projects only, competing continuation 
applications will not be accepted.  Small grant support may not be used for 
thesis or dissertation research.  Revisions of a previously reviewed small 
grant application may be submitted using the standard NIH guidelines.

ELIGIBLE INSTITUTIONS 

You may submit (an) application(s) if your institution has any of the 
following characteristics:

o For-profit or non-profit organizations 
o Public or private institutions, such as universities, colleges, hospitals, 
and laboratories 
o Units of State and local governments
o Eligible agencies of the Federal government  
o Domestic or foreign
o Faith-based organizations

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

Any individual with the skills, knowledge, and resources necessary to carry 
out the proposed research is invited to work with their institution 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 programs.   

WHERE TO SEND INQUIRIES

We encourage your inquiries concerning this PA and welcome the opportunity to 
answer questions from potential applicants.  

Direct inquiries regarding programmatic issues to one of the NINR Program 
Directors listed below.  Additional information about these areas of science, 
phone numbers, and email addresses may be found on the following web site: 
http://www.ninr.nih.gov/ResearchAndFunding/DEA/OEP/AreasofscienceFile.htm

Chronic illness and long term care:
Nell Armstrong, PhD, RN
Telephone: (301) 594-5973
E-mail: nell.armstrong@nih.gov

Reproductive and child health:
Yvonne E. Bryan, PhD, RN
Telephone: (301) 594-6908
E-mail: yvonne.bryan@nih.gov

Immune responses and oncology: 
Martha Hare, PhD, RN
Tel: (301) 594-6906
E-mail: martha.hare@nih.gov

Neurofunction and sensory conditions:
Karin F. Helmers, PhD
Tel: (301) 594-2177
E-mail: karin.helmers@nih.gov

End of life and palliative care:
Ann Knebel, RN, DNSc, FAAN
Tel: 301-594-5966 
E-mail: aknebel@nih.gov

Health promotion in diverse populations:
Janice Phillips, PhD, RN, FAAN
Tel:  (301) 594-6152
E-mail: phillipsj@mail.nih.gov

Cardiopulmonary health and critical care:
Hilary D. Sigmon, PhD, R.N.
Tel:  (301) 594-5970
E-mail: hilary.sigmon@nih.gov

o Direct your questions about financial or grants management matters to:

Ms. Cindy McDermott
Office of Grants and Contracts Management
Telephone:  (301) 594-6869
Email:  cindy_mcdermott@nih.gov

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at 
https://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive 
format.  For further assistance contact GrantsInfo, Telephone (301) 710-0267, 
Email: GrantsInfo@nih.gov.

Applications must be submitted in a modular grant format.  The modular grant 
format simplifies the preparation of the budget in these applications by 
limiting the level of budgetary detail.  Applicants responding to this PA 
request either one or two $25,000 modules.  Section C of the research grant 
application instructions for the PHS 398 (rev. 5/2001) at 
https://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step 
guidance for preparing modular grants.  Additional information on modular 
grants is available at 
https://grants.nih.gov/grants/funding/modular/modular.htm.

Biographical sketch:  If you are in training or in fellowship status at the 
time of application you should list in your biographical sketch the position 
you will occupy at the time of award with the expected start date in that 
position. If the position is contingent on receipt of the award then you 
should describe it as "contingent on award".  

Research plan: Do not exceed a total of ten pages for the following parts 
(a.-d.): Specific Aims, Background and Significance, Preliminary 
Studies/Progress Report, and Research Design and Methods.   Tables and 
figures are included in the 10-page limitation.  The 10-page limitation does 
not include parts e. through i. (Human Subjects Research, Vertebrate Animals, 
Literature Cited, Consortium/contractual Arrangements, Consultants).  

Appendix: Appendix material may not be submitted with the exception of 
color/glossy photos provided a black and white version is included within the 
page limits of the Research Plan.  

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of 
the application, including the checklist, and five 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)

APPLICATION PROCESSING: Applications must be received by or mailed on or 
before the receipt dates described at 
https://grants.nih.gov/grants/funding/submissionschedule.htm.  The CSR will 
not accept any application in response to this PA 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 a substantial revision of an application already reviewed, but 
such application must include an Introduction addressing the previous 
critique.

PEER REVIEW PROCESS

Applications submitted for this PA will be assigned on the basis of 
established PHS referral guidelines.  An appropriate scientific review group 
convened in accordance with the standard NIH peer review procedures 
(http://www.csr.nih.gov/refrev.htm) will evaluate applications for scientific 
and technical merit.  

As part of the initial merit review, all applications will:

o Receive a written critique
o Undergo a selection 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
o Receive a second level review by the appropriate advisory council

REVIEW CRITERIA

The R03 small grant is a mechanism for supporting discrete, well-defined 
projects that can realistically be expected to be completed in two years and 
that require only a modest level of funding.  Pilot data are not required to 
support these applications.  Because the research plan is limited to 10 
pages, a small grant application will not have the same level of detail or 
extensive discussion found in an R01 application.  Accordingly, reviewers 
should evaluate the theoretical framework and general approach to the 
problem, placing less emphasis on methodological details and certain 
indicators traditionally used in evaluating the scientific merit of R01 
applications (e.g. hypothesis-driven design, supportive preliminary data).

In the written comments, reviewers will be asked to discuss the following 
aspects of your application in order to judge the likelihood that the 
proposed research will have a substantial impact on the pursuit of these 
goals: 

o Significance 
o Approach 
o Innovation
o Investigator
o Environment
  
The scientific review group will address and consider each of these criteria 
in assigning your application"s overall score, weighting them as appropriate 
for each application.  Your 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, you 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 your study address an important problem? If the aims 
of your application are achieved, how do they advance scientific knowledge?  
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?  Do you acknowledge potential problem areas and consider alternative 
tactics?

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

(4) INVESTIGATOR: Are you appropriately trained and well suited to carry out 
this work?  Is the work proposed appropriate to your experience level as the 
principal investigator and to that of other researchers (if any)?

(5) ENVIRONMENT:  Does the scientific environment in which your 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?

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, your 
application will also be reviewed with respect to the following:

PROTECTIONS:  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.

INCLUSION:  The adequacy of plans to include subjects from both genders, all 
racial and ethnic groups (and subgroups), and children as appropriate for the 
scientific goals of the research.  Plans for the recruitment and retention of 
subjects will also be evaluated. (See Inclusion Criteria included in the 
section on Federal Citations, below).

DATA SHARING:  The adequacy of the proposed plan to share data. 

BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed research.

AWARD CRITERIA

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

o Scientific merit of the proposed project as determined by peer review
o Availability of funds 
o Relevance to program priorities

REQUIRED FEDERAL CITATIONS 

MONITORING PLAN AND DATA SAFETY AND MONITORING BOARD: Research components 
involving Phase I and II clinical trials must include provisions for 
assessment of patient eligibility and status, rigorous data management, 
quality assurance, and auditing procedures.  In addition, it is NIH policy 
that all clinical trials require data and safety monitoring, with the method 
and degree of monitoring being commensurate with the risks (NIH Policy for 
Data Safety and Monitoring, NIH Guide for Grants and Contracts, June 12, 
1998: https://grants.nih.gov/grants/guide/notice-files/not98-084.html).  

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 AMENDMENT "NIH 
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research - Amended, October, 2001," published in the NIH Guide for Grants and 
Contracts on October 9, 2001 
(https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html), a 
complete copy of the updated Guidelines are available at 
https://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 new PHS Form 398, 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 RESEARCH INVOLVING HUMAN SUBJECTS: 
The NIH maintains a policy 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 is available at 
https://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 proposals for research involving human 
subjects.  You will find this policy announcement in the NIH Guide for Grants 
and Contracts Announcement, dated June 5, 2000, at 
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of research 
on hESCs can be found at https://grants.nih.gov/grants/stem_cells.htm and at  
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html.  Only 
research using hESC lines that are registered in the NIH Human Embryonic Stem 
Cell Registry will be eligible for Federal funding (see http://escr.nih.gov).   
It is the responsibility of the applicant to provide the official NIH 
identifier(s)for the hESC line(s)to be used in the proposed research.  
Applications that do not provide this information will be returned without 
review. 

PUBLIC 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 public 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 
https://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this PA 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.

URLs IN NIH GRANT APPLICATIONS OR APPENDICES: 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.   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 PA 
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 No. 93.361, and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or Health 
Systems Agency review.  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 described at 
https://grants.nih.gov/grants/policy/policy.htm and under Federal Regulations 
42 CFR 52 and 45 CFR Parts 74 and 92.

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.

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

	Office of Extramural Research (OER)			National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892			Department of Health and Human Services (HHS)
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