Release Date: September 2, 1999

PA NUMBER:  PA-99-160

National Institute on Aging



The National Institute on Aging (NIA) is seeking small grant (R03)
applications to:  1) stimulate and facilitate secondary analyses of data
related to the demography and economics of aging; 2) provide support for
preliminary projects using secondary analysis that could lead to subsequent
applications for other research project grant award mechanisms; 3) provide
support for rapid analyses of new databases and experimental modules for
purposes such as informing the design and content of future study waves; and
4) provide support for the development, enhancement and assembly of new
databases from existing data.


Each NIH PA addresses one or more of 22 Health Promotion and Disease
Prevention priority areas identified. These areas can be found via the WWW at


Applications may be submitted by domestic for-profit and non-profit
organizations, public and private, such as universities, colleges, hospitals,
laboratories, units of State and local governments, and eligible agencies of
the Federal government. Foreign organizations and institutions are not
eligible.  Racial/ethnic minority individuals, women, and persons with
disabilities are encouraged to apply as principal investigators. Participation
in the program by investigators at minority institutions is strongly
encouraged.  Applications from new investigators and researchers new to aging
are particularly encouraged.


The mechanism of support will be the small grant (R03).  Applicants may
request either $25,000 or $50,000 in direct costs for one year through the
small grant (R03) mechanism.  However, the grants will be awarded under
Expanded Authorities and are eligible for a single one-year no cost extension. 
These awards are not renewable.  If applicable, before completion of the R03,
investigators are encouraged to seek continuing support for research through
other grant award mechanisms.  Replacement of the Principal Investigator on
this award is not permitted.

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


Approximately $850,000 (total costs) will be available to fund 10 to 14 small
grants each fiscal year, contingent on high scientific merit and program


The Small Grant program is designed to:  support researchers interested in
undertaking secondary analyses of data related to the demography and economics
of aging; provide support for preliminary projects using secondary analysis
that could lead to subsequent applications for individual research awards;
provide support for rapid analyses of new databases and experimental modules
for purposes such as informing the design and content of future study waves;
and provide support for publicly archiving datasets (including salient
psychological and sociological data) relevant to demographic and economic
analyses of the older population. International comparative analyses are
encouraged.  Applications which are innovative and high risk with the
likelihood for high impact are especially encouraged.  See also National
Institute on Aging: Pilot Research Grant Program which permits original data
collection on several of the topics below (PAR-99-049 also available at


*  Biodemography of aging:  including the demographic aspects of heritability
and familial aggregation of disease and longevity; incorporation of genetic
and disease variables into demographic models and age-specific mortality
rates; the social roles of the elderly in nature; and biological mediators of
the relationship between socio-economic status and health.  (See Between Zeus
and the Salmon: The Biodemography of Longevity. Washington, DC: National
Academy Press, 1997. Also available at

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

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

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

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

*  Modeling risk factor trajectories and trends in non-communicable disease
disability and mortality in developed and developing countries, with emphasis
on aging populations. Analyses and projections of the epidemiological
transition in developing countries. (See Murray, C.J.L. and Lopez, A.D. 1996. 
Evidence-Based Health Policy -- Lessons from the Global Burden of Disease
Study.  Science, 274, 740- 743).

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

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

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

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

*  Demography and economics of dementia and Alzheimer's Disease, and of AIDS
in older populations.

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

Priority will be given to proposals undertaking secondary analysis of publicly
available datasets of high Congressional and NIA priority, such as the Health
and Retirement Study (HRS) (see The Journal of Human Resources, 30. Supplement
1995), Asset and Health Dynamics of the Oldest-Old (AHEAD) (see The Journals
of Gerontology Series B, 52B. Special Issue, May 1997), and the National Long
Term Care Survey (NLTCS) (See Manton et al. 1997. Chronic Disability Trends in
Elderly United States Populations: 1982-1984.  Proc. Natl. Acad. Sci., 94,
2593-2598).  Other datasets supported by NIA which are in the public domain
include: Alameda County Study; Australian Longitudinal Study of Aging (ALSA);
Current Population Survey (CPS); Early Indicators of Later Work Levels,
Disease, and Death; Epidemiology of Chronic Disease in the Oldest Old;
Established Populations for Epidemiologic Studies of the Elderly (EPESE);
Hispanic EPESE; German Socio-Economic Panel (GSOEP); Indonesian Family Life
Survey (IFLS); Longitudinal Study of Aging (LSOA); Supplement on Aging II (SOA
II); Luxembourg Income Study (LIS); Malaysian Family Life Survey (MFLS);
National Survey of Self Care Behaviors; National Longitudinal Survey (NLS):
1990 Resurvey of Older Males; National Survey of Families and Households
(NSFH) Reinterview; Odense Archive of Population Data on Aging; Panel Study of
Income Dynamics (PSID); 1990 Public-Use Microdata Sample for the Older
Population and the comparable samples from ECE countries (collected by the
UN/ECE/PAU); and the Wisconsin Longitudinal Survey (WLS).

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

Upon request, program staff listed under INQUIRIES will send applicants
information about these and other datasets, including instructions on how the
data can be accessed.

Although this Program Announcement is oriented primarily to the demography and
economics of aging, the datasets listed above, among others, may also be
relevant to other areas in the behavioral and social sciences.  For such
programmatic information, contact staff listed under INQUIRIES.

The National Institute on Aging may modify the selected topic areas
periodically by reissuing this Program Announcement.  Information on other
initiatives supported by NIA may be found at the following internet address:


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

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

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

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

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


program will follow modular procedures for application and award (see also  The modular grant
concept establishes specific modules in which direct costs may be requested as
well as a maximum level for requested budgets. Only limited budgetary
information is required under this approach. The just-in-time concept allows
applicants to submit certain information only when there is a possibility for
an award. It is anticipated that these changes will reduce the administrative
burden for the applicants, reviewers and Institute staff. The research grant
application form PHS 398 (rev. 4/98) is to be used in applying for these
grants, with the modifications noted below.


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

PHS 398

o  FACE PAGE:  Items 7a and 7b should be completed, indicating Direct Costs
(in $25,000 increments) and Total Costs [Modular Total Direct plus Facilities
and Administrative (F&A) costs] for the first year budget period.  As this
program provides funds for one year only (with a one-year no-cost extension
available upon written request from the grantee), Items 8a and 8b for the
entire proposed period of support should show the same costs as Items 7a and

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

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

o  NARRATIVE BUDGET JUSTIFICATION - Use a Modular Grant Budget Narrative page.
(See for sample pages.) 
At the top of the page, enter the total direct costs requested.

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

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

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

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

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

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

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


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


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

Review Criteria

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

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

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

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

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

Additional factors to be considered:

The initial review group will also examine: the likelihood that the project
will lead to the development of an R01 application, or significant advancement
of aging research; the appropriateness of proposed project budget and
duration; the adequacy of coverage of both genders and minorities and their
subgroups in the dataset proposed for the secondary analysis, as appropriate
for the scientific goals of the study; the adequacy of the proposed dataset to
protect the identifiability of human subjects; and the safety of the research


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

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


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

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

Teresa Bladen
Behavioral and Social Research Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 533, MSC 9205
Bethesda, MD  20892-9205
Telephone:  (301) 496-3138
FAX:  (301) 402-0051
Email: (e-mail correspondence is preferred)

Direct inquiries regarding programmatic issues to:

Georgeanne E. Patmios
Behavioral and Social Research Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 533, MSC 9205
Bethesda, MD  20892-9205
Telephone:  (301) 496-3138
FAX:  (301) 402-0051
Email: (e-mail correspondence is preferred)

Direct inquiries regarding fiscal matters to:

David Reiter
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: (e-mail correspondence is preferred)


This program is described in the Catalog of Federal Domestic Assistance No.
93.866.  Awards are made under authorization of the Public Health Service Act,
Title IV, Part A (Public Law 78-410), as amended by Public Law 99-158, 42 USC
241 and 285) and administered under PHS grants policies and Federal
Regulations 42 CFR 52 and 45 CFR Part 74.  This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review.

The PHS strongly encourages all grant 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.

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