and Human Services (HHS)
EXPIRED
Department of Health and Human Services
Participating Organizations
National Institutes of Health (NIH), (http://www.nih.gov/)
Components of Participating Organizations
National Institute on Aging (NIA), (http://www.nia.nih.gov/)
Title: Retirement Economics
Announcement Type
New
Program Announcement (PA) Number: PA-05-036
Catalog of Federal Domestic Assistance Number(s)
93.866
Key Dates
Release Date: December 29, 2004
Letters of Intent Receipt Date(s): Not applicable.
Application Receipt Dates(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Peer Review Date(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Council Review Date(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Earliest Anticipated Start Date: Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Additional Information To Be Available Date (Url Activation Date): Not applicable.
Expiration Date for P01 Applications: May 26, 2007
Expiration Date for R01 Non-AIDS Applications: November 2, 2006
Expiration Date for R01 AIDS and AIDS-Related Applications: January 3, 2007
Expiration Date for R03 and R21 Applications: March 2, 2006
Due Dates for E.O. 12372
Not applicable.
Additional Overview Content
Executive Summary
The National Institute on Aging (NIA) invites applications for research on retirement economics. The research objectives of this Program Announcement include, but are not limited to: (1) the determinants of retirement behavior, (2) the variation in work patterns in later life, (3) the evolution of health and economic circumstances of individuals through retirement and into later life, (4) time use and life satisfaction before and during retirement, (5) the implications of retirement trends, (6) retirement expectations, (7) international comparisons of retirement and (8) the development of innovative retirement modeling techniques.
Part II Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
Section II. Award Information
1. Mechanism(s) of Support
2. Funds Available
Section III. Eligibility Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2.Cost Sharing or Matching
3. Other - Special Eligibility Criteria
Section IV. Application and Submission Information
1. Address to Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Receipt and Review and Anticipated Start Dates
1. Letter of Intent
B. Sending an Application to the NIH
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review Information
1. Criteria
2. Review and Selection Process
A. Additional Review Criteria
B. Additional Review Considerations
C. Sharing Research Data
D. Sharing Research Resources
3. Anticipated Announcement and Award Dates
Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
A. Cooperative Agreement Terms and Conditions of Award
1. Principal Investigator Rights and Responsibilities
2. NIH Responsibilities
3. Collaborative Responsibilities
4. Arbitration Process
3. Reporting
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/ Grants Management Contact(s)
Section VIII. Other Information - Required Federal Citations
Part II - Full Text of Announcement1. Research Objectives
Background
Over the past several decades, retirement has emerged as an extended phase of the life course for most Americans. Extended periods of retirement are a result of increasing longevity, on the one hand, and a long-term trend toward younger retirement, on the other. Today, the most common age of retirement is age 62 and average life expectancy at age 62 is 18 years for men and 21 years for women. As much as one quarter of our years is now spent in retirement; almost half as long as a typical worker will spend in the labor force. Even though the trend toward younger retirement has flattened (and perhaps even started to reverse) in recent years, life expectancy continues to increase. As a result the period of life spent in retirement is still expanding.
The importance of studying retirement is heightened by the approaching retirement of the baby boom generation of Americans. In 2008, the first of the baby boom generation reaches age 62. Over the next 30 years, the U.S. population over age 62 is projected to double (from about 40 million to about 80 million people), while the working age population increases by just 13 percent. The implications for individuals, labor markets, government and employer provided retirement and health insurance programs, and the overall economy are profound. Thus the determinants of work and retirement decisions in later life have become a high priority research area.
This Program Announcement encompasses research on the work and retirement decisions that people make at older ages and the health and economic circumstances of individuals as they evolve before retirement, at the time that work transitions take place, and throughout retirement. It is about the complex interrelationships between work, economic circumstances, public policy, health, and other aspects of later life. The following topics are examples of relevant research areas only. Applications are not limited to these areas. NIA encourages applicants to discuss their topics with program staff prior to submission.
Areas of Research Interest:Determinants of Retirement Behavior: Many factors contribute to individual retirement decisions. Among these are financial factors that directly affect the potential for consumption in retirement such as personal wealth accumulation, government and employer-provided retirement and health insurance policies, and the economic environment in which individuals live. Other factors indirectly affect the potential for consumption and directly influence the quality of retirement such as mental and physical health, cognition, functional disability, family circumstances and dynamics, psychological characteristics, job quality, employer accommodation, and the social environment. Further, specific health conditions could have effects on retirement that differ across the population based on characteristics like occupation or education. Research is encouraged on the interrelationships and relative importance of these various factors on the retirement decision.
Variation in Work Patterns in Later Life: The traditional approach to retirement has been for individuals to depart completely from the labor force essentially overnight, working full-time on a career job one day, followed by complete cessation of paid work the next. But the traditional approach is by no means universal, and may increasingly be the exception. Further, improvements in health and life expectancy of the elderly coupled with a future of relatively small working age populations could draw some retirees back into the labor market. Research is encouraged on the diversity of work patterns in later life, including phased retirement, part-time work at older ages, changes in job settings or responsibilities, movements in and out of the labor force, late life job displacement, and other factors influencing individual decisions about work in later life.
Evolution of Health and Economic Circumstances of Individuals through Retirement and Later Life: Individual trends in health, earnings and saving influence retirement plans, the decision to retire and the quality of life experienced in retirement. Major life events such as the death of a spouse, the onset of an acute health event or chronic illness, or unemployment can have profound effects on both current and future resources. Households also face considerable financial risks in later life, such as work-preventing disability, long-term care needs, and the possibility of outliving their savings. Insurance, precautionary saving and other public and private support mechanisms can mitigate some of these outcomes, but only for forward-looking individuals that have the knowledge and resources to acquire and manage such instruments. The extended number of years that many people will spend in retirement coupled with the strain on publicly-funded old-age, survivor, disability and health insurance programs increases the importance of retirement plans that provide adequate retirement resources. Retirees that plan poorly could have few options to improve their situation in retirement, particularly if poor planning is correlated with having limited financial and human capital. Research is encouraged on describing how the health and economic circumstances of individuals evolve through their working lives and as they transition into and through retirement.
Time Use and Life Satisfaction in Retirement: Retirement from a career job involves much more than an economic transition. Individuals who have spent a substantial portion of their lives in a work environment must now develop new activities and social groups in retirement. Though the transition to retirement could provide opportunities for volunteerism, providing care for grandchildren, or leisure activities, for some the separation from work can lead to depression. Leaving the social environment of a job can be particularly difficult for retirees who do not have family or an established social network outside of work. Time spent in retirement is likely related to the expected and actual quality of retirement and life satisfaction. Research is encouraged on how people spend their time in retirement, how time use evolves over the course of later life and, more generally, how people adapt to retirement.
The Implications of Retirement Trends: The increasing number of years spent in retirement and the increasing concentration of retirees in the population has widespread implications for labor markets, retirement programs, and the overall economy. As the number of retirees grows relative to the number of workers, pressure on social programs as well as changes in labor markets could have an influence on retirement timing and well being. Similarly, the effect of asset liquidation by retirees from the Baby Boom generation to finance their consumption could have an impact on asset returns for the working population saving for their own retirement. Employer provided benefits have also changed dramatically in recent years: employer pensions have shifted away from defined benefit plans toward defined contribution plans and retiree health plans have been reduced or eliminated. Further, trends in female labor market participation and marital status will influence the composition of benefit options available to women and households when they retire. Differences in all of these trends across the different nations of the global economy add another level of complexity the determination of the interactive effects of these trends in a cross-national macroeconomic context. Research is encouraged on these broader implications of retirement trends, and how public policies influence, and are influenced by these trends.
Retirement Expectations: The extent to which individuals prepare for retirement is influenced in part by their expectations about retirement such as when they expect to retire, what benefits they expect to receive from public and employer-sponsored retirement programs, expectations of their financial needs for retirement, expectations regarding future economic trends, their long-term health and how long they expect to live. Determining the accuracy of such expectations, the elements that form expectations (both accurate and inaccurate), and their relationship to both retirement decisions and planning will provide valuable insight to both economic modeling and public policy. Research is encouraged to better understand people's retirement expectations throughout their working lives, how such expectations are developed, the extent to which expectations differ from actual observed outcomes, and the extent that interventions might mitigate adverse outcomes associated with inaccurate expectations.
International Comparisons of Retirement: Extended periods of individual retirement and increasing numbers of retirees are trends that are not unique to the United States. Many countries are experiencing population aging and have already started to implement changes in public policies to address the challenges of global aging. Variation in public policies across different countries can be exploited to identify important aspects of retirement behavior and provide valuable lessons regarding the effectiveness of programmatic changes in public policy. Cross-national retirement research drawing on new and existing aging-related data sources being collected in countries around the world are encouraged.
There is a wealth of longitudinal data currently available for studying the research objectives of this Program Announcement, including the Health and Retirement Study (HRS), the Panel Study of Income Dynamics (PSID), and the Mexican Health and Aging Study. Two other studies, the English Longitudinal Study of Aging (ELSA) and The Survey of Health, Aging and Retirement in Europe (SHARE) are currently under development and will be available for public-use in the near future.
The HRS was designed explicitly to learn about retirement, following the health and economic circumstances of individuals beginning in their 50s, through conventional retirement ages, and into later life. The HRS now contains six biannual waves of survey data, and a sample of over 20,000 older Americans. The HRS includes survey questions on health, functional ability, cognition, family structure and intergenerational support within families, housing, employment, expectations, income and assets, marital history, health care utilization, major life events, insurance, and many other aspects of health and economic circumstances. The data are linked to administrative records from the Social Security Administration and the Centers for Medicare and Medicaid Services, adding even more historical detail to the survey data. In many cases, data have been compiled on the provisions of people's pension based on plan data obtained directly from their employers. For more information about the HRS, including instructions on how to access the data, see http://hrsonline.isr.umich.edu/.
The PSID is a longitudinal study of a representative sample of U.S. individuals and their families. Though the study emphasizes the dynamic aspects of economic and demographic behavior, it also includes sociological, psychological, and physical health measures. The PSID is the longest running national panel on family and individual dynamics. From 1968 to 1996, the PSID interviewed individuals from families every year, whether or not they were living in the same dwelling or with the same people. After 1996, the PSID moved to biennial data collection. The study continues to follow and interview adult children of sample families when they leave their parent's home. By continually adding these young families, the study maintains a representative sample of the U.S. population providing measures of social and health conditions over the full life course. The PSID currently contains prospective life histories of respondents who have become grandparents as well as a sample of over 4,000 respondents who have died since the survey began. In turn, the PSID includes substantial life histories and measures of the health and social conditions of their lineal descendents, including their grandchildren. For more information about the PSID, including instructions on how to access the data, see http://psidonline.isr.umich.edu/.
The MHAS is a prospective panel study of health and aging in Mexico, with national and urban/rural representation. The baseline survey was conducted in the summer of 2001 and the 2003 follow-up survey will be released by the end of 2004. The baseline survey includes a nationally representative sample of Mexicans aged 50 and over and their spouse/partners regardless of their age. Spouse/partners of eligible respondents were interviewed, even if the spouse was born after 1950. The six Mexican states which are the origin of 40% of all migrants to the U.S. were over-sampled at a rate of slightly less than 2:1. The MHAS contains detailed demographic, health, economic, and family data. The economic data provide sources and amounts of income and wealth including wages, pensions, and government subsidies as well as the type and value of assets. Respondents who could not provide an exact amount for any of the sources of wealth or income were asked to estimate the amount using categorical brackets to reduce item non-response. The 2001 wave of data contains imputations that make use of the bracket responses to reduce error in replacement values for bracketed wealth and income data. For more information about the MHAS, including instructions on how to access the data, see http://www.mhas.pop.upenn.edu/english/home.htm.
The English Longitudinal Study of Aging (ELSA) sample is drawn from respondents to the Health Survey for England (HSE), a study conducted on behalf of the Department of Health of the United Kingdom. Around 12,000 respondents from two separate years of the HSE have been recruited to provide a representative sample of the English population aged 50 and over. The major advantage of the HSE sampling source is that baseline data on respondent's health (details of morbidity, lifestyle, diets and blood samples) have already been collected. The health data will be supplemented by the collection of baseline economic data in the first wave of ELSA. Future rounds of ELSA will then track changes in health and economic position. For more information about ELSA, including a downloadable report containing key analyses, see http://www.ifs.org.uk/elsa.
This Program Announcement invites secondary data analysis and primary data collection. While this Program Announcement covers retirement research using any relevant data sources, NIA especially encourages applications that take advantage of the resources provided by the these data files.
See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.
Section II. Award InformationThis funding opportunity will use the NIH R01, P01, R03, and R21 award mechanism(s). As an applicant, you will be solely responsible for planning, directing, and executing the proposed project.
The R01 mechanism supports a principal investigator's work on a discrete research project. The R01 is the traditional mechanism of extramural research for NIH. Information on the R01 mechanism can be found at the following address: http://www.nia.nih.gov/ResearchInformation/FundingAndTraining/ResearchSupport/.
The P01 mechanism is designed to support a broadly based, multidisciplinary program which has a specified major objective or a basic theme. More information regarding the P01 mechanism can be found at the following address: http://www.nia.nih.gov/ResearchInformation/FundingAndTraining/ResearchSupport/P01Guidelines.htm.
The R03 supports small research projects that can be carried out in a short period of time with limited resources. The R03 mechanism is intended to: (1) stimulate and facilitate the entry of promising new investigators into aging research, and (2) encourage established investigators to enter new areas of research on aging. More information regarding the R03 mechanism can be found at the following address: http://grants.nih.gov/grants/guide/pa-files/PA-03-108.html.
The R21 is intended to encourage exploratory and developmental research projects by providing support for the early and conceptual stages of these projects. More information regarding the R21 mechanism can be found at the following address: http://grants.nih.gov/grants/guide/pa-files/PA-03-107.html.
This funding opportunity uses just-in-time concepts. It also uses the modular as well as the non-modular budget 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 budget format described in the PHS 398 application instructions. Otherwise follow the instructions for non-modular research grant applications.
2. Funds Available
Because the nature and scope of the proposed research will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of the IC(s) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications. Facilities and administrative costs are not included in the direct cost limitation; see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-004.html.
Section III. Eligibility Information1. Eligible Applicants
1.A. Eligible Institutions
You may submit (an) application(s) if your organization has any of the following characteristics:
Domestic or foreign institutions/organizations may apply to this Program Announcement using the NIH R01, R03, and R21 mechanisms. Only domestic institutions/organizations may apply using the NIH P01 mechanism.
1.B. Eligible Individuals
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.
2. Cost Sharing or Matching
This program does not require cost sharing as defined in the current NIH Grants Policy Statement at: http://grants.nih.gov/grants/policy/nihgps_2003/nihgps_Part2.htm#matching_or_cost_sharing.
3. Other-Special Eligibility Criteria
Not applicable.
1. Address to Request Application Information
The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 710-0267, Email: [email protected].
Telecommunications for the hearing impaired: TTY 301-451-5936.
2. Content and Form of Application Submission
Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.
The title and number of this funding opportunity must be typed on line 2 of the face page of the application form and the YES box must be checked.
3. Submission Dates and Times
Applications must be mailed on or before the receipt date described below (Section IV.3.A). Submission times not applicable.
3.A. Receipt, Review and Anticipated Start Dates
Letters of Intent Receipt Date(s): Not applicable.
Application Receipt Dates(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Peer Review Date(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Council Review Date(s): Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
Earliest Anticipated Start Date: Standard dates apply, please see http://grants.nih.gov/grants/funding/submissionschedule.htm for details.
3.A.1. Letter of Intent
A letter of intent is not required for the funding opportunity.
3.B. Sending an Application to the NIH
Applications must be prepared using the PHS 398 research grant application instructions and forms as described above. 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 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)
3.C. Application Processing
Applications must be submitted on or before the application receipt dates described above (Section IV.3.A.) and at http://grants.nih.gov/grants/dates.htm. Upon receipt, applications will be evaluated for completeness by CSR.
The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review unless the applicant withdraws the pending application. The NIH 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.
Although there is no immediate acknowledgement of the receipt of an application, applicants are generally notified of the review and funding assignment within eight (8) weeks.
4. Intergovernmental Review
This initiative is not subject to intergovernmental review.
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm (see also Section VI.3. Reporting).
Pre-Award Costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new or competing continuation award if such costs: are necessary to conduct the project, and would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new or competing continuation award.
The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See NIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part6.htm.
6. Other Submission Requirements
Grantees should plan to attend annual meetings of investigators funded under this PA for the purpose of reporting on research progress and sharing information with other investigators on data resources, methodology, analytical tools and preliminary results. Applicants should include the cost of attending this meeting in their proposed research budgets.
Specific Instructions for Modular Grant applications
Applications requesting up to $250,000 per year in direct costs must be submitted in a modular budget format. The modular budget 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 at http://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step guidance for preparing modular budgets. Applicants must use the currently approved version of the PHS 398. Additional information on modular budgets is available at http://grants.nih.gov/grants/funding/modular/modular.htm. (See also Section II.1. Mechanisms of Support)
Specific Instructions for Applications Requesting $500,000 (direct costs) or More per Year (See also Section VIII-Other Information)
Applicants requesting $500,000 or more in direct costs for any year must carry out the following steps:
1) Contact the IC program staff at least 6 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) Include a cover letter with the application that identifies 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.
Plan for Sharing Research Data
The precise content of the data-sharing plan will vary, depending on the data being collected and how the investigator is planning to share the data. Applicants who are planning to share data may wish to describe briefly the expected schedule for data sharing, the format of the final dataset, the documentation to be provided, whether or not any analytic tools also will be provided, whether or not a data-sharing agreement will be required and, if so, a brief description of such an agreement (including the criteria for deciding who can receive the data and whether or not any conditions will be placed on their use), and the mode of data sharing (e.g., under their own auspices by mailing a disk or posting data on their institutional or personal website, through a data archive or enclave). Investigators choosing to share under their own auspices may wish to enter into a data-sharing agreement. References to data sharing may also be appropriate in other sections of the application.
Applicants requesting more than $500,000 in direct costs in any year of the proposed research must include a plan for sharing research data in their application. The funding organization will be responsible for monitoring the data sharing policy (http://grants.nih.gov/grants/policy/data_sharing).
The reasonableness of the data sharing plan or the rationale for not sharing research data may be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score.
Sharing Research Resources
NIH policy requires that grant awardee recipients make unique research resources readily available for research purposes to qualified individuals within the scientific community after publication (NIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps_2003/index.htm and http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.htm#_Toc54600131). Investigators responding to this funding opportunity should include a plan for sharing research resources addressing how unique research resources will be shared or explain why sharing is not possible.
The adequacy of the resources sharing plan and any related data sharing plans will be considered by Program staff of the funding organization when making recommendations about funding applications. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each non-competing Grant Progress Report (PHS 2590, http://grants.nih.gov/grants/funding/2590/2590.htm). See Section VI.3.Reporting.
Section V. Application Review Information1. Criteria
Only the review criteria described below will be considered in the review process.
2. Review and Selection Process
Applications submitted for this funding opportunity will be assigned to the ICs on the basis of established PHS referral guidelines.
Appropriate scientific review groups 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:
The following will be considered in making funding decisions:
The goals of NIH supported research are to advance our understanding of biological systems, to improve the control of disease, and to enhance health. In their written critiques, reviewers will be asked to comment on each of the following criteria in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered in assigning the overall score, weighting them as appropriate for each application. Note that an application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward.
1. Significance. Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge or clinical practice be advanced? What will be the effect of these studies on the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?
2. Approach. Are the conceptual or clinical framework, design, methods, and analyses adequately developed, well integrated, well reasoned, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics?
3. Innovation. Is the project original and innovative? For example: Does the project challenge existing paradigms or clinical practice; address an innovative hypothesis or critical barrier to progress in the field? Does the project develop or employ novel concepts, approaches, methodologies, tools, or technologies for this area?
4. Investigators. Are the investigators 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? Does the investigative team bring complementary and integrated expertise to the project (if applicable)?
5. Environment. Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed studies benefit from unique features of the scientific environment, or subject populations, or employ useful collaborative arrangements? Is there evidence of institutional support?
2.A. Additional Review Criteria:
In addition to the above criteria, the following items will continue to be considered in the determination of scientific merit and the priority score:
Protection of Human Subjects from Research Risk: The involvement of human subjects and protections from research risk relating to their participation in the proposed research will be assessed (see the Research Plan, Section E on Human Subjects in the PHS Form 398).
Inclusion of Women, Minorities and Children in Research: 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 will be assessed. Plans for the recruitment and retention of subjects will also be evaluated (see the Research Plan, Section E on Human Subjects in the PHS Form 398).
Care and Use of Vertebrate Animals in Research: If vertebrate animals are to be used in the project, the five items described under Section F of the PHS Form 398 research grant application instructions will be assessed.
2.B. Additional Review Considerations
Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research. The priority score should not be affected by the evaluation of the budget.
2.C. Sharing Research Data
Data Sharing Plan: The reasonableness of the data sharing plan or the rationale for not sharing research data may be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score. The funding organization will be responsible for monitoring the data sharing policy. http://grants.nih.gov/grants/policy/data_sharing.
2.D. Sharing Research Resources
NIH policy requires that grant awardee recipients make unique research resources readily available for research purposes to qualified individuals within the scientific community after publication (See the NIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps/part_ii_5.htm#availofrr and http://www.ott.nih.gov/policy/rt_guide_final.html). Investigators responding to this funding opportunity should include a sharing research resources plan addressing how unique research resources will be shared or explain why sharing is not possible.
The adequacy of the resources sharing plan will be considered by Program staff of the funding organization when making recommendations about funding applications. Program staff may negotiate modifications of the data and resource sharing plans with the awardee before recommending funding of an application. The final version of the data and resource sharing plans negotiated by both will become a condition of the award of the grant. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each non-competing Grant Progress Report (PHS 2590). See Section VI.3.Reporting.
3. Anticipated Announcement and Award Dates
Not applicable.
1. Award Notices
After the peer review of the application is completed, the Principal Investigator will also receive a written critique called a Summary Statement.
If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_part4.htm).
A formal notification in the form of a Notice of Grant Award (NGA) will be provided to the applicant organization. The NGA signed by the grants management officer is the authorizing document.
Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NGA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Also Section IV.5. Funding Restrictions.
The NGA will be sent via email to the administrative official whose name is listed in Block 12 on the Face Page of the Form PHS 398.
2. Administrative and National Policy Requirements
All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the notice of grant award. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part4.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_part9.htm).
The following Terms and Conditions will be incorporated into the award statement and will be provided to the Principal Investigator as well as to the appropriate institutional official, at the time of award.
2.A. Cooperative Agreement Terms and Conditions of Award
Not applicable.
Awardees will be required to submit the PHS Non-Competing Grant Progress Report, Form 2590 annually (http://grants.nih.gov/grants/funding/2590/2590.htm) and financial statements as required in the NIH Grants Policy Statement.
Section VII. Agency ContactsWe encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:
1. Scientific/Research Contacts:
John W. R. Phillips, PhD
Behavioral and Social Research Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 533
Bethesda, MD 20892-9205
Telephone: (301) 496-3138
FAX: (301) 402-0051
Email: [email protected]
2. Peer Review Contacts:
Not applicable.
3. Financial or Grants Management Contacts:
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: [email protected]
Required Federal Citations
Human Subjects Protection:
Federal regulations (45CFR46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).
Sharing Research Data:
Investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why this is not possible (http://grants.nih.gov/grants/policy/data_sharing).
Investigators should seek guidance from their institutions, on issues related to institutional policies and local IRB rules, as well as local, State and Federal laws and regulations, including the Privacy Rule. Reviewers will consider the data sharing plan but will not factor the plan into the determination of the scientific merit or the priority score.
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 "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research (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 Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them.
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 (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 applications for research involving human subjects and individuals designated as key personnel. The policy is available 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.
Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (DHHS) issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule", on August 14, 2002. The Privacy Rule is a federal regulation under the Health Insurance Portability and Accountability Act (HIPAA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the DHHS Office for Civil Rights (OCR).
Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website (http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPAA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.
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.healthypeople.gov.
Authority and Regulations
This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The NIH Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.
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.
Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov/.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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