This Program Announcement will expire on December 23, 2003, unless reissued.

Release Date:  December 13, 2001

PAR NUMBER:  PAR-02-037 (see replacement PAR-04-020)

National Cancer Institute

Application Receipt Dates:  April 22, 2002, August 20, 2002, December 20, 2002, 
                            April 21, 2003, August 20, 2003, 
                            and December 22, 2003


This Program Announcement (PA) replaces PAR-99-006, which was published in the 
NIH Guide on April 20, 1999.


The Division of Cancer Control and Population Sciences of the National Cancer 
Institute (NCI) invites behavioral research applications in cancer control 
from new investigators or established scientists refocusing their research 
interests to behavioral research in cancer. The Small Grants Program is 
designed to aid and facilitate the growth of a nationwide cohort of scientists 
with a high level of research expertise in behavioral cancer control research. 
Small grants are short-term awards to provide support for pilot projects, 
development and testing of new methodologies, secondary data analyses, or 
innovative studies that provide a basis for more extended research. 


This program is designed to encourage investigators from a variety of 
academic, scientific, and public health disciplines to apply their skills to 
behavioral research investigations in cancer prevention and control.  The 
research may occur in a variety of settings, such as hospitals, universities, 
cancer centers, communities, schools, health departments and worksites.
Investigators may choose any of the full range of scientific approaches to 
their work.  Studies may contribute to the design, implementation or 
evaluation of intervention programs, descriptive baseline surveys, testing, 
modification and validation of surveys or program materials for use in the 
proposed population groups, testing of recruitment, intervention or compliance 
procedures for participants, etc. Proposals should include justification of 
study design, methods, and sample size. In addition, proposals should identify 
the theoretical framework used and clearly indicate the significance of the 
research and where it will lead.

The following program areas focused on behavior and cancer are appropriate for 
small research grant applications:

Screening and early detection – preliminary studies to improve compliance with 
and utilization of proven screening technologies, research regarding patient 
and provider decision making when screening guidelines are controversial or 
uncertain (e.g., PSA testing).  The development and design of new approaches 
to increase screening in diverse populations as well as the refinement of 
behavioral measures are encouraged.  In the area of breast screening and 
detection, studies of breast self-examination as a single modality will not be 
accepted.  Other examples can be found at:

Health promotion research - studies to change current behaviors and/or 
institute new behaviors, such as diet, physical activity, energy balance, 
virus exposure, sun exposure and other behavioral risk factors relevant to 
reducing incidence, morbidity or mortality from cancer.  Other examples may be 
found at:

Tobacco control research – tobacco use etiology, prevention and cessation 
including, but not limited to, pilot studies that test strategies for 
improving utilization of current technologies in high risk individuals and 
populations, studies assessing the effect of various policies on tobacco 
initiation and use, secondary data analyses of existing datasets. Additional 
examples may be found at:

Applications research – studies that examine the feasibility and adoption of 
proven state-of-the-art intervention programs and strategies from other 
research projects (e.g., screening, smoking prevention etc.) for use in 
special populations, state and local health agencies, or other organizational 
and community settings.

Health communications and informatics research- message development, risk 
communication and evaluation of the delivery of health information to 
understand and apply the most effective communications approaches to maximize 
access to, comprehension of, and use of cancer information. Other examples may 
be found at:

Basic biobehavioral research – studies that examine mechanisms, principles, 
and theoretical underpinnings of cancer-related behavior change across ages, 
racial and ethnic groups, socioeconomic strata, and cancer diagnoses. Research 
areas include, but are not limited to: development of testing of models and 
theories of health behavior, behavioral genetics, psychoneuroimmunology, 
decision making, methods and measurement in behavioral science research, and 
basic research in social and psychological processes potentially related to 
cancer control. Other examples may be found at:

Applied surveillance research - research related to evaluating patterns and 
trends in cancer -related behavioral risk factors, and determining the 
influence of those factors at the individual, societal and systems level on 
patterns and trends in measures of cancer burden, including incidence, 
morbidity, mortality and survival. Innovative approaches that address 
surveillance of cancer- related behaviors using newly available data, linkage 
between existing data systems to create enriched data systems for cancer 
surveillance, and contemporary statistical and economic methods (e.g., 
analytical methods employing GIS, microsimulation or variance estimation for 
age-adjusted rate trends) are encouraged:

Survivorship – studies that explore the development, delivery, or evaluation 
of interventions to increase the length of survival for cancer patients, or to 
improve the quality of survival of individuals diagnosed with cancer and/or 
their family members. This may also include research on prevention of 
subsequent disease and disability, instrument development, and analyses of the 
economic cost of cancer survivorship.  Other examples may be found at:

Health Disparities – studies that seek to explain the impact of ecological, 
socioeconomic, ethnic or cultural factors on cancer incidence, morbidity, 
mortality and survivorship in underserved communities.  More information may 
be found at:

Additionally, investigators may propose high priority secondary analyses in 
these areas.

Although the specific study proposed may attempt only to obtain preliminary 
data and/or conduct pilot studies in support of a future, more detailed 
intervention study, it is important that a long-term human cancer control 
hypothesis and supporting scientific justification be presented.

Applications not fitting one of the program areas stated above will be 
returned to the proposed Principal Investigator without undergoing peer 

This program announcement is intended to increase the basic and applied 
scientific knowledge of behavioral cancer control research by facilitating and 
encouraging new investigators to conduct research in this area. 


Support of this program announcement will be through individual research 
project grants (RO3).  The total budget may not exceed $100,000 in direct 
costs for the entire project.  The direct costs in any one-year must not 
exceed $50,000.  The total project period for applications submitted in 
response to this announcement may not exceed two years.   The NIH has adopted 
a policy that limits the number of amendments to two.  The small grant is not 
renewable.  The earliest anticipated award date is December, 2002.

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


Applications may be submitted by domestic, for-profit and not-for-profit 
organizations, public and private, such as universities, colleges, hospitals, 
laboratories, units of State and local governments, eligible agencies of 
Federal government, and small businesses.  Foreign organizations are 
ineligible to apply. Eligible applicants must be either new investigators who 
have not previously been Principal Investigator (PI) on a NCI-funded cancer 
control research grant (R03, R01, U01, P01, R21), or established scientists 
refocusing their research interests to behavioral research in cancer.  
Predoctoral investigators currently enrolled in an accredited doctoral degree 
program also are eligible to apply. 

 All applicants should identify a mentor or sponsor from whom they will 
receive guidance regarding the proposed research.  Small research grants may 
NOT be used to supplement research projects currently supported by Federal or 
non-Federal funds, or to provide interim support of research project 
applications under review by the Public Health Service. Racial/ethnic minority 
individuals, women and persons with disabilities are encouraged to apply as 
principal investigators.  


Inquiries are encouraged.  For detailed information about the Small Grants 
Program for Behavioral Research in Cancer Control, visit:

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

Direct inquiries regarding programmatic issues to:

Veronica Chollette, RN
Division of Cancer Control and Population Sciences
National Cancer Institute
6130 Executive Blvd, Suite 4100
MSC 7331
Executive Plaza North
Rockville, MD  20892
Telephone:  (301) 435-2837

Direct scientific inquiries to the appropriate small grants program director, 
who are identified by area of content expertise at:
Direct inquiries regarding review issues to:

Referral Officer 
Division of Extramural Activities 
National Cancer Institute 
6116 Executive Blvd., Room 8109, MSC-8329
Rockville, MD  20852 (express courier)
Bethesda, MD  20892-8329
Telephone  (301) 496-3428
Fax:  (301) 402-0275

Direct inquiries regarding fiscal matters to:

Crystal Wolfrey
Grants Administration Branch
National Cancer Institute
Executive Plaza South, Room 243
Bethesda, MD  20892
Telephone:  (301) 496-8634 
FAX:  (301) 496-8601


The PHS 398 research grant application instructions and forms (rev. 5/2001) at must be used in 
applying for these grants and will be accepted at the standard application 
deadlines ( 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:


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 is to be used in 
applying for these grants, with modular budget instructions provided in 
Section C of the application instructions.  

Applicants are strongly encouraged to call the program contacts listed in 
INQUIRIES with any questions regarding the adherence to the guidelines of 
their proposed project to the goals of this PA.

Applicants responding to this PA should include one round trip, 2 day meeting to 
Bethedsa, MD in the budget.  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.

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, exact, single-sided photocopies, in one package 

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:

Referral Officer
Division of Extramural Activities
National Cancer Institute
6116 Executive Boulevard, Room 8109, MSC 8329
Bethesda, MD  20892-8329
Rockville, MD  20852 (for express/courier service) 

The application receipt dates are April 22, 2002, August 20, 2002, December 
20, 2002, April 21, 2003, August 20, 2003, and December 22, 2003.  If an 
application is received after these specified dates, it will be returned to 
the applicant without review. 

The Center for Scientific Review (CSR) will not accept any application in 
response to this PA that is essentially the same as one currently pending 
initial review, unless the applicant withdraws the pending application. The 
CSR will not accept any application that is essentially the same as one 
already reviewed. This does not preclude the submission of substantial 
revisions of applications already reviewed, but such applications must include 
an introduction addressing the previous critique.

Applications will be reviewed for completeness by the Center for Scientific 
Review and for adherence to the guidelines to this PA by the National Cancer 
Institute.  Incomplete applications will be returned to the applicant without 
further consideration.  Applications that are complete and adhere to the 
guidelines of this PA will be evaluated for scientific and technical merit by 
an appropriate scientific review group convened by the Division of Extramural 
Activities of the National Cancer Institute in accordance with the standard 
NIH peer review procedures.  As part of the initial merit review, all 
applications will receive a written critique, and may 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 National 
Cancer Advisory 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.  The 
reviewers will comment on the following aspects of the application in their 
written critiques 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 by the reviewers 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 a 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 

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 

The initial review group will also examine: 

o  the appropriateness of proposed project budget and duration, 
o  the adequacy of plans to include genders, minorities (and their subgroups), 
and children as appropriate for the scientific goals of the research and plans 
for the recruitment and retention of subjects, 
o  the provisions for the protection of human and animal subjects, 
o  the safety of the research environment,


Applications will compete for available funds with all other recommended 
applications.  The following will be considered in making funding decisions: 
Quality of the proposed project as determined by peer reviews, availability of 
funds, and program priority. 

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.


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 
a complete copy of the updated Guidelines are available at  
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 


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 clear and compelling 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," published in the NIH Guide for Grants and 
Contracts, March 6 on 1998, and available at the following URL address:

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


All investigators proposing research involving human subjects should read the 
NIH policy on education in the protection of human research participants now 
required for all investigators, which is published in the NIH Guide for Grants 
and Contracts, June 5, 2000 (Revised August 25, 2000), available at the 
following URL address:  
A continuing education program in the protection of human 
participants in research is now available online at


All clinical trials supported or performed by NCI require some form of 
monitoring.  The method and degree of monitoring should be commensurate with 
the degree of risk involved in participation and the size and complexity of 
the clinical trial.  Monitoring exists on a continuum from monitoring by the 
principal investigator/project manager or NCI program staff to a Data and 
Safety Monitoring Board (DSMB).  These monitoring activities are distinct from 
the requirement for study review and approval by an Institutional Review Board 
(IRB).  For details about the Policy of the NCI for Data Safety Monitoring of 
Clinical Trials see  
For Phase I and II clinical trials, investigators must submit a general 
description of the data and safety monitoring plan as part of the research 
application.  See NIH Guide Notice on "Further Guidance on a Data and Safety 
Monitoring for Phase I and II Trials" for additional information:  
Information concerning essential elements of data safety monitoring plans for 
clinical trials funded by the NCI is available to


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  
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.


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.


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, Small Grants Program for 
Behavioral Research in Cancer Control, is related the priority area of Cancer.  
Potential applicants may obtain a copy of "Healthy People 2010" at

This program is described in the Catalog of Federal Domestic Assistance No. 
93.399, Cancer Control.  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 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.

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

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