SOCIAL AND DEMOGRAPHIC STUDIES OF RACE AND ETHNICITY IN THE UNITED STATES
RELEASE DATE: January 16, 2003
PA NUMBER: PA-03-057
EXPIRATION DATE: February 1, 2006, unless reissued.
National Institute of Child Health and Human Development (NICHD)
(http://www.nichd.nih.gov/)
National Heart, Lung, and Blood Institute (NHLBI)
(http://www.nhlbi.nih.gov/)
National Human Genome Research Institute (NHGRI)
(http://www.genome.gov/)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
(http://www.niddk.nih.gov/)
National Institute of Mental Health (NIMH)
(http://www.nimh.nih.gov/)
National Institute on Aging (NIA)
(http://www.nia.nih.gov/)
National Institute on Drug Abuse (NIDA)
(http://www.nida.nih.gov/)
THIS PROGRAM ANNOUNCEMENT 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 Child Health and Human Development (NICHD), the
National Heart, Lung and Blood Institute (NHLBI), the National Human Genome
Research Institute (NHGRI), the National Institute of Diabetes and Digestive
and Kidney Diseases (NIDDK), the National Institute of Mental Health (NIMH),
the National Institute on Aging (NIA), and the National Institute on Drug
Abuse (NIDA) invite qualified researchers to submit research grant
applications on the demography and social science of race and ethnicity in
the United States. The goal of this program announcement is to encourage
research that will improve understanding of race and ethnicity in social
science and demographic research. Demographic and social aspects of race and
ethnicity include issues related to understanding how the changing
composition and conceptualization of race and ethnicity are affecting the
U.S. socially, economically, and demographically, including how increasing
racial and ethnic diversity are affecting population health and health
disparities; issues related to the development of racial and ethnic identity
and to interactions between racial/ethnic identification and demographic,
health, and other outcomes; and issues related to the measurement of race and
ethnicity, including racial and ethnic self-identification. Potential
applicants are strongly encouraged to contact the Program Contact for
Scientific/Research issues listed under WHERE TO SEND INQUIRIES, below.
RESEARCH OBJECTIVES
Since the 1960s, a series of policy changes have profoundly altered the
racial and ethnic composition of the U.S. One key change was the 1965
amendments to the 1962 immigration law, which ended the immigration system
that had favored immigrants from Europe, and resulted in increases in
immigration from Asia and Central America. Other policy changes also
influenced the economic, social, and political opportunities available to
racial and ethnic minority groups; these included the Civil Rights Act of
1964, the 1965 Voting Rights Act, the Fair Housing Act of 1968, and the
Supreme Court's 1967 ruling in Loving versus Virginia that ruled anti-
miscegenation laws unconstitutional. Recent policy changes, such as the
Personal Responsibility and Work Opportunities Reconciliation Act of 1996
(PRWORA, often referred to as "Welfare Reform"), have also significantly
affected racial and ethnic groups and immigrants. Over the last four
decades, the proportion of the U.S. population that is non-Hispanic white has
declined, while the proportions that are Hispanic and Asian have risen
substantially. By 2000, Hispanics had surpassed blacks as the largest
racial/ethnic minority group in the U.S. The share of the population that
reports being of more than one race or of mixed race in vital statistics
registries and in social science surveys has also risen.
In response to these demographic changes, as well as to an heightened
attention to racial and ethnic identity, the legacy of the civil rights
movement, and recent advances in genetic research that call into question
some commonly held beliefs about the biological basis for apparent racial and
ethnic differences, Americans are grappling with how to best conceptualize
race and ethnicity. In 1997, the U.S. Office of Management and Budget (OMB)
announced new standards for Federal data on race and ethnicity. The 2000
Census used these new standards, a system that allows for tabulation of 126
racial and ethnic categories. (See Section C. Conceptualizing, Measuring,
and Modeling Race and Ethnicity, below, for a more detailed explanation of
the OMB standards.)
But while categorizing race and ethnicity becomes more detailed and exact,
the meaning of these distinctions is becoming less certain. Recent advances
in our understanding of genetics made possible by the Human Genome Project
show that while the frequency of certain genetic variants does vary to some
extent among groups based on the groups' ancestral origins, no precise
boundaries between identified racial groups can be drawn (Collins, 2001). In
May 2001, the editor of the New England Journal of Medicine declared "I
maintain that attributing differences in a biologic end point to race is not
only imprecise but also of no proven value in treating an individual patient
...Race is a social construct, not a scientific classification" (Schwartz,
2001). The editors of the Archives of Pediatrics and Adolescent Medicine
were particularly critical of past uses of race and ethnicity in medical
research, stating that "[a]nalysis by race and ethnicity has become an
analytical knee-jerk reflex." Noting that the Human Genome Project has
established " there is a greater range of genetic differences within such
groups as 'white' or 'black' than between groups," and that "[t]here is no
biological or scientific basis for the term 'race' much less the categories
commonly used to describe it," they asked authors not to use race and
ethnicity "when there is no biological, scientific, or sociological reason
for doing so," and further instructed authors not to use race as an
explanatory variable when it is actually capturing socioeconomic variation
(Rivara and Finberg, 2001).
Race continues to be a key variable in most social science research. Goals
of this PA are to clarify what is captured by "race" and "ethnicity" in
social science analysis, and to elaborate the complex social, cultural, and
psychological processes that underlie racial and ethnic identification and
its meaning in social science analysis. This PA calls for research in three
broad areas: (a) causes and consequences of the changing racial and ethnic
composition of U.S. society, including effects on population health and
health disparities; (b) issues related to the development, maintenance, and
consequences of racial and ethnic identity; and (c) developing and validating
methods of conceptualizing, measuring, and modeling race and ethnicity.
Illustrative examples of possible research topics are listed below each of
these headings in the sections that follow.
A. Causes and Consequences of the Changing Racial and Ethnic Composition of
U.S. Society
In the past 30 years the U.S. has become increasingly diverse. The primary
factor contributing to this diversity has been immigration; other influences
are differential fertility among ethnic and racial groups and intermarriage.
Social and economic factors influencing the trend may include changes in
labor markets, economic restructuring, changing social and cultural attitudes
and norms, and social policies that influence the opportunities for social
and economic advancement of minority individuals. The consequences of
increasing diversity on the economic, social, and cultural fabric of the U.S.
are still largely conjectural, and may ultimately depend on how communities,
institutions, individuals, and social policy respond to the changes in our
population. Research can make a valuable contribution to understanding these
consequences and how they may be moderated under different circumstances.
Examples of topics that address the changing racial and ethnic composition of
U.S. society include, but are not limited to, the following:
o How are economic, social, and demographic factors and government policies
affecting the racial and ethnic composition of the U.S.? How are
immigration and intermarriage affecting the racial and ethnic composition of
the U.S.? How can the racial and ethnic composition be expected to change in
the future? How do population projections change depending on how
assumptions about immigration, intermarriage, and racial/ethnic
identification and assignment are varied?
o What are the implications of racial and ethnic diversity for institutions,
residential patterns, and individuals' experiences, attitudes, and outcomes?
For example, how do schools manage diversity and how does diversity affect
student achievement, student attachment to schools, and students' patterns of
friendships? How have these outcomes been affected by programs that have
bused children to achieve racial integration of schools? How have changes in
the ethnic and racial diversity of workplaces, social organizations, and
other institutions affected behavior, values, and attitudes? What factors
influence how institutions and communities respond to racial and ethnic
diversity?
o How and why have patterns of interracial and interethnic friendship,
courtship, marriage, and childbearing changed in the U.S.? How have attitudes
about interracial and interethnic friendship changed and how do attitudes
vary across socioeconomic and demographic groups? How has our notion of the
family changed with increasing racial and ethnic diversity?
o How has increasing racial and ethnic diversity affected population health
and health disparities? How has increasing diversity in the population
affected the health care system? How has increasing diversity, including
that resulting from immigration, affected social programs such as Medicare
and Social Security, and policy reform? Does the aging process differ for
individuals of different racial/ethnic groups? What are the moderators,
mediators, and mechanisms that contribute to racial and ethnic variations in
the burden of mental disorders as they occur across the life span and to
racial and ethnic variations in the patterns of psychiatric diagnoses?
B. Development, Maintenance, and Consequences of Racial and Ethnic Identity
As the U.S. becomes ethnically and racially more diverse, and as the
prevalence of interracial and interethnic unions and unions between
immigrants and non-immigrants increases, issues related to how individuals
acquire racial and ethnic identity and the consequences of racial and ethnic
identity become increasingly important. For instance, research suggests that
interactions between racial/ethnic identity and socioeconomic status are
complex and sometimes interdependent (Waters, 2000), and that racial identity
among adolescents, especially mixed race adolescents, can be very fluid
(Harris, 2000). Examples of topics that address the development,
maintenance, and consequences of racial and ethnic identity include, but are
not limited to, the following:
o How are racial and ethnic identities formed? How are racial and ethnic
identity affected by socioeconomic status, by neighborhood, school, and other
contexts, by the prevailing culture, and by the media? What factors affect
how parents assign a race to their children? How do children learn to
identify themselves and how fluid is this identification? How do differences
in self-identified race/ethnicity and race/ethnicity as perceived and
assigned by others interact and how do they affect socioeconomic, health, and
demographic outcomes?
o How does racial/ethnic identity interact with immigration status? How do
immigrants to the U.S., especially those from nations with completely
different methods of conceptualizing race and ethnicity, come to categorize
themselves -and others, including non-immigrants -in the U.S. racial/ethnic
pantheon? What affects their racial/ethnic identity in the U.S., and how
does their racial/ethnic identification affect and respond to their
assimilation? How does racial/ethnic identification change across
generations? How do socioeconomic, demographic, and cultural contexts affect
racial/ethnic identification among immigrants and their descendants? Even
with its new complexity, does the U.S. scheme of categorizing race and
ethnicity have salience for recent immigrant groups?
o How does racial/ethnic identity relate to socioeconomic and demographic
outcomes? For individuals with fluid racial/ethnic identity, such as
immigrants and individuals of mixed race, do their socioeconomic status and
demographic behavior affect how they identify themselves racially and
ethnically?
o Research suggests that how individuals with ancestors from more than one
racial group identify themselves racially differs by age: older mixed race
individuals are more likely than mixed race younger individuals to identify
themselves as belonging to only one racial group. Are such findings the
result of cohort effects or aging effects? Within cohorts, among individuals
with mixed racial/ethnic heritage, how does racial and ethnic self-identity
change as individuals age?
o How does macro-level racial and ethnic composition affect individual's
racial and ethnic identity and individual demographic behavior, health, and
socioeconomic outcomes? How does racial and ethnic identity change over the
life course and what effect does it have on behavior, health, and
socioeconomic status?
o How has the increasing diversity of the U.S. population affected the
meanings given to racial and ethnic origins and identity and the role they
play in organizing social life and economic opportunity? How and why has
this process varied across different regions, communities, and socioeconomic
groups within our country?
C. Conceptualizing, Measuring, and Modeling Race and Ethnicity
In light of the new OMB standards on collecting and categorizing data on race
and ethnicity, and questions about the salience of race from the biomedical
community, there is a heightened focus on how demographic and other social
science research can most appropriately integrate race and ethnicity. Two
important issues are: (1) whether the racial and ethnic categories used to
describe groups with shared identity, characteristics, and experiences are
valid, and (2) how to develop models that elaborate the causal processes that
explain why racial and ethnic differences in outcomes exist.
OMB's 1997 standards for classifying Federal data on race and ethnicity call
for recording Hispanic status and race separately, expanding the number of
racial categories to five, and allowing respondents to report that they
belong to more than one racial group. The five racial categories are
American Indian or Alaska Native; Asian; Black or African American; Native
Hawaiian or Other Pacific Islander; and White. While the 1960 Census
reported information on three race groups -white, black, and "other" -the
2000 Census collected information that will allow for 126 racial/ethnic
categories: 63 distinct racial categories with each category broken down
into Hispanic and non-Hispanic.
Besides changing the racial and ethnic composition of the U.S. overall,
immigration in the latter part of the 20th century has also changed the
composition of racial/ethnic groups themselves. While "Asians" once
primarily included Japanese, Chinese, and Filipinos, this group now also
encompasses large numbers of Southeast Asians, Koreans, and Indians and other
South Asians. In addition, Pacific Islanders such as Native Hawaiians, and
persons with origins in the original peoples of Guam, Samoa, once included in
an overall group called "Asian and Pacific Islanders," are now classified as
a distinct category. And while 40 years ago nearly all African
Americans/Blacks were descendants of U.S. slaves, this group now also
embraces increasing numbers of immigrants (and their descendents) from the
Caribbean, whose ancestors also came to the New World as slaves, and from
Africa. Even the meaning of "white" has changed, as this group now includes
small but increasing numbers of Middle Easterners and immigrants from the
former Soviet bloc. In relation to opportunity and achievement, there are
some indications that these differences within racial/ethnic groups are as
important as differences across racial/ethnic groups.
Changing Federal standards for collecting information on race and ethnicity
can result in some comparison problems. Changing how data on race and
ethnicity are collected could make it difficult to track changes in
characteristics and outcomes for a given ethnic or racial group. It also
affects comparisons of racial and ethnic groups across data systems, that is,
comparisons between the Federal data, that are based on the new data
standards, and other data systems, such as some of those collected at the
state and local level, that do not use the new data standards.
Examples of topics that address the conceptualization, measurement, and
modeling of race and ethnicity include, but are not limited to, the
following:
o Is the racial and ethnic classification scheme that is now being used in
Federal data systems, including the 2000 Census -five racial categories plus
Hispanic and non-Hispanic as described above -meaningful and appropriate for
social science research? Do these categories have different meanings across
racial/ethnic groups and across cohorts? How do the questions and categories
used when collecting racial and ethnic data affect responses to race and
ethnicity questions and to other questions? In modeling socioeconomic,
demographic, and health outcomes, are ethnic differences within racial groups
more or less important than differences across the major groups?
o When racial and ethnic differences in social, economic, demographic, and
other outcomes are observed, what are the mechanisms explaining these
differences? How can possible explanations for racial and ethnic
differences -such as culture, racism, and social constraints -be measured and
tested? Do socioeconomic and demographic processes differ for different
racial and ethnic groups? If these processes do differ, how should racial
and ethnic differences be modeled in social science analysis?
o How can demographers and other social scientists conceptualize and analyze
individuals of mixed race/ethnicity and how do the categories used affect the
analysis? How much are research findings determined by how race and
ethnicity -especially individuals of mixed race -are defined? Recent
evidence suggests that the apparent trends in residential segregation depend
entirely on how individuals of mixed race are categorized. How does the
racial/ethnic categorization scheme used affect other analyses?
References
Collins, Francis (2001). Transcript of "2001 Genomics Short Course
Dr. Francis Collins: 'The Human Genome Project And Beyond' 8-7-2001"
http://www.nhgri.nih.gov/DIR/VIP/ShortCourse01/SC_01collinsTranscript.html.
Harris, David R. (2000). "Demography's Race Problem," paper presented at the
National Institute of Child Health and Human Development panel, "Visions of
the Future: A Town Meeting on New Directions in Population Research," Annual
Meeting of the Population Association of America, March 2000
http://www.nichd.nih.gov/about/cpr/dbs/sp/harris.htm.
Rivara, Frederick P. and Laurence Finberg (2001). "Use of the Terms Race and
Ethnicity," Archives of Pediatrics and Adolescent Medicine, Volume 155,
February 2001.
Schwartz, Robert S. (2001). "Racial Profiling in Medical Research," The New
England Journal of Medicine, Vol. 344, No. 18, May 3, 2001.
Waters, Mary C. (2000). Black Identities: West Indian Immigrant Dreams and
American Realities, New York: Russell Sage Foundation Books.
Relevant Research Links
The Demographic and Behavioral Sciences Branch, Center for Population
Research, NICHD, recently completed a long-range planning activity that
culminated in a planning workshop in June 2001 and a report on the Branch's
new strategic plan, "Goals and Opportunities, 2002-2006." This strategic
plan, which includes several recommendations about population research on
race and ethnicity, can be found at
http://www.nichd.nih.gov/publications/pubs/dbsb_plan.htm. Other documents
related to the long-range planning activity can be found at
http://www.nichd.nih.gov/about/cpr/dbs/sp/index.htm. The National Institute
on Aging Strategic Plan to Address Health Disparities can be found at
http://www.nia.nih.gov/AboutNIA/StrategicPlan/StrategicPlanHD/.
Potential applicants specifically concerned with methodological research
related to behavioral and social science research on race and ethnicity
should also see the program announcement "Methodology and Measurement in the
Behavioral and Social Sciences" at
http://grants.nih.gov/grants/guide/pa-files/PA-02-072.html.
Potential applicants interested in basic social science research on the
social and cultural constructs and processes used in health research,
including race and ethnicity, should also see the program announcement
"Social and Cultural Dimensions of Health" at
http://grants.nih.gov/grants/guide/pa-files/PA-02-043.html.
MECHANISM OF SUPPORT
This PA will use the NIH research project grant (R01) award mechanism. As an
applicant, you will be solely responsible for planning, directing, and
executing the proposed project. The total project period for a research
project grant (R01) application submitted in response to this PA may not
exceed five years. At the end of this five-year period, awardees may apply
for a competing continuation.
This PA uses just-in-time concepts. It also uses the modular as well as the
non-modular budgeting formats (see
http://grants.nih.gov/grants/funding/modular/modular.htm). Specifically, if
you are submitting an application with direct costs in each year of $250,000
or less, use the modular format. Otherwise follow the instructions for non-
modular research grant applications.
ELIGIBLE INSTITUTIONS
You may submit an application 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 or community-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. Inquiries may fall into two
areas: scientific/research and financial or grants management issues:
o Direct your questions about scientific/research issues to:
National Institute of Child Health and Human Development (NICHD)
Rebecca L. Clark, Ph.D.
Center for Population Research
Demographic and Behavioral Sciences Branch
6100 Executive Boulevard, Room 8B07, MSC 7510
Bethesda, MD 20892-7510
Telephone: (301) 496-1175
Fax: (301) 496-0962
Email: rclark@mail.nih.gov
National Heart, Lung and Blood Institute (NHLBI)
Ebony Bookman, Ph.D.
Division of Epidemiology and Clinical Applications
6701 Rockledge Drive, Room 8166, MSC 7934
Bethesda, MD 20892-7934
Telephone: (301) 435-0446
Fax: (301) 480-1455
Email: bookmane@nhlbi.nih.gov
National Human Genome Research Institute (NHGRI)
Jean E. McEwen, J.D., Ph.D.
Ethical, Legal, and Social Implications Research Program
31 Center Drive, Room B2B07, MSC 2033
Bethesda, MD 20892-2033
Telephone: (301) 402-4997
Fax: (301) 402-1950
Email: jm522n@nih.gov
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Lawrence Agodoa, M.D.
Office of Minority Health Research Coordination
6707 Democracy Boulevard, Room 653, MSC 5454
Bethesda, MD 20892-5454
Telephone: (301) 594-1932
Fax: (301) 594-9358
Email: la21j@nih.gov
National Institute of Mental Health (NIMH)
Cheryl A. Boyce, Ph.D.
Developmental Psychopathology and Prevention Research Branch
6001 Executive Boulevard, Room 6200, MSC 9617
Bethesda, MD 20892-9617
Rockville, MD 20852 for delivery
Telephone: (301) 443-0848
Fax: (301) 480-4415
Email: cboyce@nih.gov
National Institute on Aging (NIA)
Georgeanne E. Patmios, M.A.
Behavioral and Social Research Program
7201 Wisconsin Avenue, Suite 533, MSC 9205
Bethesda, MD 20892-9205
Telephone: (301) 496-3138
Fax: (301) 402-0051
Email: patmiosg@nia.nih.gov
National Institute on Drug Abuse (NIDA)
Yonette Thomas, Ph.D.
Division of Epidemiology, Services and Prevention Research
Epidemiology Research Branch
6001 Executive Boulevard, Room 5174, MSC 9589
Bethesda, MD 20892-9589
Telephone: (301) 402-1910
Fax: (301) 480-2543
Email: yt38e@nih.gov
o Direct your questions about financial and grants management matters to:
National Institute of Child Health and Human Development
Kathy Hancock
Grants Management Branch
6100 Executive Boulevard, Room 8A17G, MSC 7510
Bethesda, MD 20892-7510
Telephone: (301) 496-5482
Fax: (301) 402-0915
Email: kh47d@nih.gov
National Heart, Lung and Blood Institute
Holly Atherton
Grants Operations Branch
6701 Rockledge Drive, Room 7152, MSC 7926
Bethesda, MD 20892-7926
Telephone: (301) 435-0177
Fax: (301) 480-3310
Email: athertoh@nhlbi.nih.gov
National Human Genome Research Institute
Jean Cahill
Grants Management Officer
31 Center Drive, Room B2B34, MSC 2031
Bethesda, MD 20892-2031
Telephone: (301) 435-7858
Fax: (301) 402-1951
Email: jc166o@nih.gov
National Institute of Diabetes and Digestive and Kidney Diseases
Trudy Hilliard
Grants Management Branch
2 Democracy Plaza, Room 717, MSC 5456
Bethesda, MD 20892-5456
Telephone: (301) 594-8859
Fax: (301) 480-4237
Email: HilliardT@extra.niddk.nih.gov
National Institute of Mental Health
Brian Albertini
Grants Management Branch
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone: (301) 443- 0004
Fax: (301) 443- 0219
Email: ba18b@nih.gov
National Institute on Aging
Traci Lafferty
Grants and Contracts Management Officer
National Institute on Aging
7201 Wisconsin Avenue, Suite 2N212, MSC 9205
Bethesda, MD 20892-9205
Telephone: (301) 496-1472
FAX: (301) 402-3672
Email: laffertt@nia.nih.gov
National Institute on Drug Abuse
Gary Fleming, J.D., M.A.
Grants Management Branch
6001 Executive Boulevard, Room 3131, MSC 9541
Bethesda, Maryland 20892-9541
Telephone: (301) 443-6710
Fax: (301) 594-6849
Email: gf6s@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
http://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.
APPLICATION RECEIPT DATES: Applications submitted in response to this
program announcement will be accepted at the standard application deadlines,
which are available at http://grants.nih.gov/grants/dates.htm. Application
deadlines are also indicated in the PHS 398 application kit.
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS: Applications
requesting up to $250,000 per year in direct costs 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 request direct costs in $25,000 modules. Section C of the
research grant application instructions for the PHS 398 (rev. 5/2001) at
http://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
http://grants.nih.gov/grants/funding/modular/modular.htm.
SPECIFIC INSTRUCTIONS FOR APPLICATIONS REQUESTING $500,000 OR MORE PER YEAR:
Applications requesting $500,000 or more in direct costs for any year must
include a cover letter identifying the NIH staff member within one of NIH
institutes or centers who has agreed to accept assignment of the application.
Applicants requesting more than $500,000 must carry out the following steps:
1) Contact the IC program staff at least six weeks before submitting the
application, i.e., as you are developing plans for the study;
2) Obtain agreement from the IC staff that the IC will accept your
application for consideration for award; and,
3) Identify, in a cover letter sent with the application, the staff member
and IC who agreed to accept assignment of the application.
This policy applies to all investigator-initiated new (type 1), competing
continuation (type 2), competing supplement, or any amended or revised
version of these grant application types. Additional information on this
policy is available in the NIH Guide for Grants and Contracts, October 19,
2001 at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-004.html.
SENDING AN APPLICATION TO THE NIH: The title and number of the program
announcement 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 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
http://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 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 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 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
method? 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?
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.)
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: http://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
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines is available at
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_
2001.htm. The amended policy incorporates: the use of an NIH definition
of clinical research; updated racial and ethnic categories in compliance with
the new OMB standards; clarification of language governing NIH-defined
Phase III clinical trials consistent with the 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
http://grants.nih.gov/grants/funding/children/children.htm.
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: NIH
policy requires education on the protection of human subject participants for
all investigators submitting NIH 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
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
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
http://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 Program Announcement
(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 Nos.
93.864 (NICHD), 93.837 (NHLBI), 93.172 (NHGRI), 93.849 (NIDDK), 93.242
(NIMH), 93.866 (NIA), and 93.279 (NIDA) 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
http://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 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 people.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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