The final receipt date for this Program Announcement will be October 1, 2005
(per Notice NOT-DK-04-009), unless reissued.

NIDDK SMALL GRANTS FOR UNDERREPRESENTED INVESTIGATORS

Release Date:  December 6, 2001

PA NUMBER:  PAR-02-032 (see Notice of receipt date extension, NOT-DK-04-009)

National Institute of Diabetes and Digestive and Kidney Diseases
 (http://www.niddk.nih.gov)

THIS PA USES "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS.  MODULAR 
INSTRUCTIONS MUST BE USED FOR RESEARCH GRANT APPLICATIONS UP TO $250,000 PER 
YEAR. MODULAR BUDGET INSTRUCTIONS ARE PROVIDED IN SECTION C OF THE PHS 398 
(REVISION 5/2001) AVAILABLE AT 
http://grants.nih.gov/grants/funding/phs398/phs398.html.

PURPOSE

The National Institute of Diabetes and Digestive and Kidney Disease (NIDDK) 
recognizes the need to increase the racial and ethnic diversity of the pool 
of scientists in research areas important to the NIDDK.  This program is 
aimed primarily at recently trained M.D. and/or Ph.D. investigators.  The 
program will enable the applicant to accept a tenure-earning position, gain 
additional research experience while transitioning to independence, and 
obtain preliminary data on which to base a subsequent research grant 
application in an area of diabetes, endocrinology, metabolism, digestive 
diseases, hepatology, obesity, nutrition, kidney, urology, or hematology 
research. 

HEALTHY PEOPLE 2010

The Public Health Service (PHS) is committed to achieving the health 
promotion and disease prevention objectives of "Healthy People 2010," a PHS 
led national activity for setting priority areas.  This Program Announcement 
(PA), NIDDK Small Grants for Underrepresented Investigators, is related to 
one or more of the priority areas.   Potential applicants may obtain a copy 
of "Healthy People 2010" at http://www.health.gov/healthypeople/.

ELIGIBILITY REQUIREMENTS

Applications may be submitted by domestic and foreign, 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.  

For the purpose of this announcement, underrepresented investigators are 
defined as individuals belonging to a particular ethnic or racial group that 
has been determined by the applicant institution to be underrepresented in 
biomedical or behavioral research.  On a national level, the groups 
considered to be underrepresented in the biomedical and behavioral sciences 
are African Americans, Hispanics, American Indians, Alaskan natives, and 
Pacific Islanders.

Applicants must have a doctoral degree (M.D., Ph.D., D.O., D.V.M.) and at 
least 2-4 years of postdoctoral research experience at the time of 
application.  This training should have been in an area applicable to the 
research supported by the NIDDK.  Individuals with less than this amount of 
postdoctoral training are encouraged to apply for an Individual National 
Research Service Award fellowship (F32, see 
http://grants.nih.gov/grants/guide/pa-files/PA-00-104.html), the NIDDK 
Mentored Research Scientist Development Award (K01, see 
http://grants.nih.gov/grants/guide/pa-files/PA-99-069.html), the Mentored 
Clinical Scientist Development Award (K08, see 
http://grants.nih.gov/grants/guide/pa-files/PA-00-003.html), or the Mentored 
Patient-oriented Research Career Development Award (K23, see 
http://grants.nih.gov/grants/guide/pa-files/PA-00-004.html).

The applicant must have direct access to an expert in the area of the 
proposed research who can provide guidance or any necessary assistance in 
carrying out the proposed project.  Applicants may not hold, nor concurrently 
apply for, any other PHS research project grants at the time of this 
application.  While priority will be given to applicants who have not 
previously been a Principal Investigator on a major research project grant, 
applicants are strongly encouraged to apply for other research project grants 
during the course of, or following, this award.

MECHANISM OF SUPPORT

This PA will use the National Institutes of Health (NIH) Small Research Grant 
(R03) award mechanism.  Responsibility for the planning, direction, and 
execution of the proposed project will be solely that of the applicant.  
Total direct costs may be requested up to $100,000, in modules of $25,000, 
per year.  The total project period for an application submitted in response 
to this PA should, in general, be two years; however, if necessary and 
justified for the proposed project, three years may be requested.  The award 
is not renewable and individuals are only eligible for this award once in 
their careers.

Specific application instructions have been modified to reflect "MODULAR 
GRANT" and "JUST-IN-TIME" streamlining efforts that have been adopted by the 
NIH. Complete and detailed instructions and information on Modular Grant 
applications have been incorporated into the PHS 398 (rev. 5/2001).  
Additional information on Modular Grants can be found at 
http://grants.nih.gov/grants/funding/modular/modular.htm.

RESEARCH OBJECTIVES

The primary purpose of this PA is to foster the research careers of 
underrepresented minority investigators conducting research in areas of  
interest to the NIDDK.  Individuals who have received training through 
individual postdoctoral fellowships or institutional training grants still 
require a transition period to demonstrate independence and to generate the 
preliminary data necessary for obtaining independent funding.  This small 
grant program is meant to provide this transitional support and to encourage 
minority investigators to pursue research careers and become independent 
scientists.

SPECIAL REQUIREMENTS

Applicants are required to have available a recognized expert in the area of 
their proposed research for guidance and consultation.  It is expected that 
this expert will assist the applicant in the design and conduct of his/her 
research.  It is not necessary for the expert to be at the same institution 
as the applicant, but he/she should be within a reasonable proximity and be 
available to the applicant.  A letter from this recognized expert must 
accompany the application along with his/her current biographical sketch.  
The letter should indicate the expert's willingness to provide counsel and 
advice to the applicant and an initial plan for ongoing communication with 
the applicant.

In addition, as part of the application, the applicant must provide a brief 
summary of his/her long-term career plans and objectives.  This summary 
should state how this award would contribute to his/her development as a 
scientist.

A letter from the appropriate Department Chair or Division Chief, in support 
of the applicant, must also accompany the application.

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 sub-populations must be included in all NIH-supported clinical research 
projects unless a clear and compelling justification is provided indicating 
that inclusion is inappropriate with respect to the health of the subjects or 
the purpose of the research. This policy results from the NIH Revitalization 
Act of 1993 (Section 492B of Public Law 103-43).

All investigators proposing clinical research should read the AMENDMENT "NIH 
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research - Amended, October, 2001," published in the NIH Guide for Grants and 
Contracts on October 9, 2001 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); 
a complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.  
The amended policy incorporates: the use of an NIH definition of 
clinical research; updated racial and ethnic categories in compliance with 
the new OMB standards; clarification of language governing NIH-defined Phase 
III clinical trials consistent with the new PHS Form 398; and updated roles 
and responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must provide a description of 
plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; 
and b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS

It is the policy of NIH that children (i.e., individuals under the age of 21) 
must be included in all human subjects research, conducted or supported by 
the NIH, unless there are scientific and ethical reasons not to include them.  
This policy applies to all initial (Type 1) applications submitted for 
receipt dates after October 1, 1998.

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines on the Inclusion of Children as Participants in 
Research Involving Human Subjects" that was published in the NIH Guide for 
Grants and Contracts, March 6, 1998, and is available at the following URL 
address:  http://grants.nih.gov/grants/guide/notice-files/not98-024.html.

Investigators also may obtain copies of these policies from the program staff 
listed under INQUIRIES.  Program staff may also provide additional relevant 
information concerning the policy.

REQUIRED EDUCATION IN THE PROTECTION OF HUMAN RESEARCH PARTICIPANTS

All investigators proposing research involving human subjects should read the 
policy that was published in the NIH Guide for Grants an Contracts, June 5, 
2000 (Revised August 25, 2000), and is available at the following URL address 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.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.  Reviewers are cautioned that their anonymity may 
be compromised when they directly access an Internet site.

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.

APPLICATION PROCEDURES

The PHS 398 research grant application instructions and forms (rev. 5/2001) 
at http://grants.nih.gov/grants/funding/phs398/phs398.html must be used in 
applying for these grants and will be accepted at the standard application 
deadlines (http://grants.nih.gov/grants/dates.htm) as indicated in the 
application kit.  This version of the PHS 398 is available in an interactive, 
searchable format. For further assistance contact GrantsInfo, Telephone 
301/710-0267, Email:  [email protected].

SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS

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 NIH staff.  The research grant application form PHS 398 (rev. 5/2001) at 
http://grants.nih.gov/grants/funding/phs398/phs398.html must be used in 
applying for these grants, with modular budget instructions provided in 
Section C of the application instructions.  

The title and number of the program announcement must be typed on line 2 of 
the face page of the application form and the YES box must be marked.

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

CENTER FOR SCIENTIFIC REVIEW
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, ROOM 1040, MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)

At the time of submission, two additional copies of the application must be 
sent to:

Chief, Review Branch
National Institute of Diabetes and Digestive and Kidney Diseases
6707 Democracy Blvd
Room 752, MSC 5452
Bethesda, MD  20892
(For FedEx and UPS:  use 20817)
Telephone:  301-594-8897
Fax:  301-480-3505

REVIEW CONSIDERATIONS

Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by the NIDK.  Incomplete and/or non-responsive applications 
will be returned to the applicant without further consideration.

Applications will be assigned on the basis of established PHS referral 
guidelines.  Applications will be evaluated for scientific and technical 
merit by an appropriate scientific review group convened by NIDDK in 
accordance with the standard 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, assigned a priority score, and receive a second level review by 
the appropriate national advisory council or board.

Review Criteria

The goals of NIH-supported research are to advance our understanding of 
biological systems, improve the control of disease, and enhance health.  In 
the written comments reviewers will be asked to discuss the following aspects 
of 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.

For this PA, all applications will also be reviewed with respect to the 
following: 

o The applicant's plans and career goals.

o The availability of a recognized expert in the area of the proposed 
research for advice as indicated by a letter of support.


AWARD CRITERIA

Award criteria that will be used to make award decisions include:

o  scientific merit (as determined by peer review)
o  availability of funds
o  programmatic priorities.
o  applicant's history of research training and research support.

INQUIRIES

Inquiries are encouraged. We welcome the opportunity to clarify any issues or 
questions from potential applicants.

Direct inquiries regarding programmatic issues to one of the following staff 
members, as appropriate for your area of research interest:

James Hyde, Ph.D.
Division of Diabetes, Endocrinology, and Metabolic Diseases
National Institute of Diabetes and Digestive and Kidney Diseases
6707 Democracy Boulevard, Rm. 603 MSC5460
Bethesda, MD  20892-5460
Telephone:  (301) 594-7692
E-mail:  [email protected]

Judith Podskalny, Ph.D. 
Division of Digestive Diseases and Nutrition 
National Institute of Diabetes and Digestive and Kidney Diseases
6707 Democracy Boulevard, Rm. 667 MSC 5450
Bethesda, MD  20892-5450
Telephone:  (301) 594-8876
E-mail:  [email protected]

Terry Rogers Bishop, Ph.D.
Division of Kidney, Urology, and Hematology
National Institute of Diabetes and Digestive and Kidney Diseases
6707 Democracy Boulevard, Rm. 619 MSC5458
Bethesda, MD  20892-5458
Telephone:  (301) 594-7721
E-mail:  [email protected]

Direct inquiries regarding fiscal matters to:

Donna Huggins
Division of Extramural Activities
National Institute of Diabetes and Digestive and Kidney Diseases
6707 Democracy Boulevard, Rm. 637 MSC 5456
Bethesda, MD  20892-5456
Telephone:  (301) 594-8848 
E-mail:  [email protected]

AUTHORITY AND REGULATIONS

This program is described in the Catalog of Federal Domestic Assistance No. . 
93.847, 93.848, and 93.849.  Awards are made under authorization of sections 
301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) 
and administered under NIH grants policies and Federal Regulations 42 CFR 52 
and 45 CFR Parts 74 and 92.  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, and portion of a facility) in which 
regular or routine education, library, day care, health care or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

			Department of Health and Human Services (HHS)
NIH... Turning Discovery Into Health®