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 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: 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: 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 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: 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 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: - 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: It is also available at 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 Direct inquiries regarding programmatic issues to: Division of Epidemiology, Services and Prevention Research Kathleen Etz, Ph.D. Telephone: (301) 402-1749 E-mail: Division of Treatment Research and Development Jamie Biswas, Ph.D. Telephone: (301) 443-8096 E-mail: Division of Neuroscience and Behavioral Research Beth Babecki, MA Telephone: (301) 443-1887 E-mail: Center on AIDS and Other Medical Consequences of Drug Abuse Paul Coulis, Ph.D. Telephone: (301) 443-2105 E-mail: Direct inquiries regarding fiscal matters to: Gary Fleming, J.D., M.A. Chief, Grants Management Branch Telephone: (301) 443-6710 Email: GF6S@NIH.GOV 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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