NIDA SMALL GRANTS PROGRAM

Release Date:  February 10, 2000 (see replacement PA-02-170)

PA NUMBER:  PAR-00-059

National Institute on Drug Abuse

PURPOSE

This program announcement updates and replaces PAR-97-038, NIDA Small Grants 
Program published in the NIH Guide for Contracts and Grants, Vol. 26, No. 6, 
February 21, 1997.  The National Institute on Drug Abuse (NIDA) provides 
research support of up to $50,000 per year (direct costs) for up to two years 
in order to conduct research relevant to any area of NIDA’s programmatic 
mission.

HEALTHY PEOPLE 2000

The Public Health Service (PHS) is committed to achieving the health 
promotion and disease prevention objectives of "Healthy People 2000," a PHS-
led national activity for setting priority areas.  This PA, NIDA Small Grants 
Program, is related to one or more priority areas. Applicants may obtain a 
copy of "Healthy People 2000" at
http://odphp.osophs.dhhs.gov/pubs/hp2000.

ELIGIBILITY REQUIREMENTS

Applications for small research grants may be submitted by any domestic for-
profit or non-profit organization, public and private, such as universities, 
colleges, hospitals, laboratories, units of State and local governments, and 
eligible agencies of the Federal government.  Racial/ethnic minority 
individuals, women, and persons with disabilities are encouraged to apply as 
principal investigators. Foreign institutions are not eligible for this 
award.  The award may not be renewed after an initial period of funding, 
which may be up to two years. 

Small grant support may not be used to supplement research projects already 
being supported or to provide interim support of projects under review by the 
Public Health Service.  Simultaneous submissions of both a small and regular 
research grant application on the same topic will not be accepted.  Small 
grant support may not be requested for thesis or dissertation research, 
except that certain types of dissertation research, as well as other special 
programmatic initiatives, use the R03 mechanism exclusively.  Information on 
those initiatives may be found at:  http://www.nida.nih.gov/ 
ResFundslist.html.

MECHANISM OF SUPPORT

The mechanism available to this program is the small grant (R03). Support may 
be requested for up to two years at $50,000 per year in direct costs, plus 
allowable indirect costs.  It is not renewable. A no-cost extension of up to 
one year may be granted to the grantee institution prior to expiration of the 
project period.  Support for subsequent years may be requested through the 
regular research grant program.  Because small grants have special 
application formats, applicants are strongly encouraged to consult with the 
staff listed under INQUIRIES.

RESEARCH OBJECTIVES

The small grants program accepts applications that fall within any of the 
scientific program interests of NIDA.  This includes a wide variety of 
biomedical, biobehavioral, clinical, health services, epidemiological, 
behavioral,  and prevention research areas relevant to the study of drug 
abuse or addiction processes.  It is not necessary that drugs of abuse be 
studied directly or that drug abusing populations be included, but the 
relevance of the research to drug abuse or drug addiction should be clearly 
established in the  application.  Potential investigators should contact the 
staff listed in the Inquiries section of this announcement in order to 
determine if their research is relevant to a NIDA  program area. Applications 
not relevant to NIDA program areas will be returned without review or 
referred to an appropriate component of the National Institutes of Health for 
consideration there. 

In addition to the scientific priorities of NIDA, program priorities under 
this small grants program include: 
1.  Newer, less experienced investigators.
2.  Investigators at institutions without well-developed research traditions 
and resources.
3.  More experienced investigators for exploratory studies which represent a 
significant change in research direction for them.
4.  More experienced investigators for testing new methods or techniques.

Applications that fit one of these priority categories (1 through 4 
above)should include an introductory paragraph in the research plan section 
of the application identifying which priority category is relevant and 
providing explicit justification for its applicability.  If the application 
does not fall into any of the priority categories, this should be stated.

INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of the NIH that women and members of minority groups and 
their subpopulations must be included in all NIH supported biomedical and 
behavioral research projects involving human subjects, unless a clear and 
compelling rationale and justification is provided that inclusion is 
inappropriate with respect to the health of the subjects or the purpose of 
the research.  This policy results from the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43).  All investigators proposing research 
involving human subjects should read the "NIH Guidelines For Inclusion of 
Women and Minorities as Subjects in Clinical Research," which have been 
published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and 
the NIH Guide for Grants and Contracts, Vol. 23, No. 11, March 18, 1994.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of NIH that children (i.e., individuals under the age of 21) 
must be included in all human subject research, conducted or supported by the 
NIH, unless there are scientific and/or 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 was published in the NIH Guide for 
Grants and Contracts, March 6, 1998, and is available at the following URL:  
http://grants.nih.gov/grants/guide/notice-files/not98-024.html.

NATIONAL ADVISORY COUNCIL ON DRUG ABUSE RECOMMENDED GUIDELINES FOR THE 
ADMINISTRATION OF DRUGS TO HUMAN SUBJECTS

The National Advisory Council on Drug  Abuse recognizes the importance of
research involving the administration of drugs to human subjects and has 
developed guidelines relevant to such research.  Potential applicants are 
encouraged to obtain and review these recommendations of the Council before 
submitting an application that will administer compounds to human subjects.  
The guidelines are available on NIDA"s Home Page at http://www.nida.nih.gov 
under Funding or by calling (301) 443-2755.

NIDA HIV/AIDS COUNSELING AND TESTING POLICY: As noted in the NIH Guide of 
June 9, 1995, researchers funded by NIDA whose research brings them into 
ongoing contact with persons at risk for HIV infection are strongly 
encouraged to provide HIV risk reduction and counseling. 

MODULAR GRANTS BUDGET INSTRUCTIONS

Small grant applications will request direct costs in either one or two 
$25,000 modules, and the format for preparing modular applications must be 
followed. Detailed information on modular grants may be found at the 
following URL: http://grants.nih.gov/grants/funding/modular/modular.htm.

Use the following as guidance in preparing the PHS 398 application:

o  FACE PAGE: Items 7a and 7b should be completed, indicating Direct Costs 
(in $25,000 increments up to a maximum of $50,000) and Total Costs [Modular 
Total Direct plus Facilities and Administrative (F&A) costs] for the initial 
budget period.  Items 8a and 8b should be completed indicating the Direct and 
Total Costs for the entire proposed period of support.

o  DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD - Do not complete Form Page 
4 of the PHS 398.  It is not required and will not be accepted with the 
application.

o  BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT - Do not complete 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 http://grants.nih.gov/grants/funding/modular/modular.htm for 
sample pages.) At the top of the page, enter the total direct costs requested 
for each year.

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.

For Consortium/Contractual costs, provide an estimate of total costs (direct 
plus F&A) 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.

Provide an additional narrative budget justification for any variation in the
number of modules requested. (Normally, the same number of modules is 
requested each year.)

o  BIOGRAPHICAL SKETCH - The Biographical Sketch provides information used by
reviewers to assess 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:  
http://grants.nih.gov/grants/funding/modular/modular.htm.
- Complete the educational block at the top of the form page,
- List position(s) and any honors,
- List selected peer-reviewed publications, with full citations,
- Provide information, including overall goals and responsibilities, on 
research projects ongoing or completed during the last three years.

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. It is important to identify all exclusions 
that were used in the calculation of the F&A costs for the initial budget 
period and all future budget years.

APPLICATION PROCEDURES

Applications are to be submitted on the grant application form PHS 398 (rev. 
4/98) and will be accepted at the standard application deadlines as indicated 
in the application kit. These forms are available at most institutional 
offices of sponsored research and from the Division of Extramural Outreach 
and Information Resources, National Institutes of Health, 6701 Rockledge 
Drive, MSC 7910, Bethesda, MD 20892-7910, telephone (301) 435-0714, Email: 
[email protected]. It is also available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html.

The title and number of the program announcement must be typed in Section 2 
on the face page of the application.

The application must be completed according to the instructions accompanying 
the form PHS 398, with two exceptions: (1) The narrative portion of the small 
grant application that describes the research plan (Items a-d) may not exceed 
10 pages of text, and (2) An introductory paragraph to the research plan 
should identify which of the four priority categories listed in the beginning 
of this program announcement applies and provide an explanation of how that 
priority category applies, or a statement that the application does not fit 
one of the categories should be included. 

Applications exceeding the 10 page limit will be returned without review. 
Appendices are allowed, but may not be used to exceed the page limitation.

The completed original application and five legible copies must be sent or 
delivered to: 

CENTER FOR SCIENTIFIC REVIEW
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20897 (for overnight/express service)

REVIEW CONSIDERATIONS

Applications that are complete will be evaluated for scientific and technical 
merit by an appropriate peer review group convened in accordance with the 
standard peer review procedures.  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

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 the application 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 the 
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 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?

In addition to the above criteria, in accordance with NIH policy, all 
applications will also be reviewed with respect to the following:

o The adequacy of plans to include both genders, minorities and their 
subgroups, and children as appropriate for the scientific goals of the 
research. Plans for the recruitment and retention of subjects will also be 
evaluated.

o The reasonableness of the proposed budget and duration in relation to the
proposed research.

o 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. The initial review group may also examine the 
safety of the research environment.

In applying the above criteria, reviewers take into consideration the
stage of scientific career development of the Principal Investigator and the 
purpose of the proposed research.  For example, some studies may not require 
extensive preliminary data, while pilot data may be appropriate for other 
studies.

AWARD CRITERIA

The following will be considered in making funding decisions: quality of the 
proposed project as determined by peer review, programmatic priorities, and 
availability of funds.  In addition, Institute staff will consider the 
reviewers  evaluation of the justification for the small grant priority 
category.  While this program announcement does not specially exclude 
applications that do not fall into one of the priority categories, 
applications that are in these areas will be given priority in funding.  
Accordingly, applicants not designating a priority category are advised to 
consider applying for regular research grants or grants under other 
mechanisms even if they are requesting support that is within the small grant 
program dollar and time limits.

INQUIRIES

Inquiries are encouraged.  The opportunity to clarify any issues or answer 
questions from potential applicants is welcome.  Additional information about 
this and other NIDA grant programs, program announcements and Requests for 
Applications may be obtained from NIDA"s Home Page at 
http://www.nida.nih.gov.

Direct inquiries regarding programmatic issues to:

Division of Epidemiology, Services and Prevention Research
Kathleen Etz, Ph.D.
Telephone:  (301) 402-1749
E-mail:  [email protected]

Division of Treatment Research and Development
Jamie Biswas, Ph.D.
Telephone:  (301) 443-8096
E-mail: [email protected]

Division of Neuroscience and Behavioral Research
Beth Babecki, MA
Telephone:  (301) 443-1887
E-mail:  [email protected]

Center on AIDS and Other Medical Consequences of Drug Abuse
Paul Coulis, Ph.D.
Telephone:  (301) 443-2105
E-mail:  [email protected]

Direct inquiries regarding fiscal matters to:

Gary Fleming, J.D., M.A.
Chief, Grants Management Branch
Telephone:  (301) 443-6710
Email:  [email protected]

The street address for the above staff is:

National Institute on Drug Abuse
6001 Executive Boulevard
Bethesda, MD 20892

AUTHORITY AND REGULATIONS

This program is described in the Catalog of Federal Domestic Assistance No. 
93.279.  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.  Grants must be administered in 
accordance with the Public Health Service Grants Policy Statement, (DHHS 
Publication No. (OASH) 82-50-000 GPO 0017-020-0090-1 (rev. 10/01/90). 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 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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