NLM SMALL GRANT PROGRAM

RELEASE DATE:  August 14, 2002 

PA NUMBER:  PAR-02-148 (see Notice of Inactivation, NOT-LM-03-001) 

EXPIRATION DATE:  6/30/2005, unless reissued. 

National Library of Medicine (NLM)
 (http://www.nlm.nih.gov)

THIS PA CONTAINS THE FOLLOWING INFORMATION

o Purpose of the PA
o Research Objectives
o Mechanism(s) of Support 
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Where to Send Inquiries
o Submitting an Application
o Peer Review Process
o Review Criteria
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS PA

The National Library of Medicine (NLM) Small Grants Program provides 
research support of up to $75,000 per year (direct costs) for up to two 
years for new research projects in areas of high relevance to the 
mission of the NLM.  Small grants are short-term awards designed to 
support basic and clinical research to answer specific, targeted 
research questions or to perform pilot or feasibility testing.  Both 
new and more experienced investigators are encouraged to apply for 
grants under this announcement. The R03 may be used to support 
individuals transitioning from postdoctoral status to their first 
independent research position.  The award may also support 
investigators at institutions that do not have extensive research 
resources.

RESEARCH OBJECTIVES

This Small Grant (R03) Program provides support for feasibility and/or 
pilot testing projects, testing of new techniques, secondary analysis 
of existing data, or development of innovative or high-impact projects.  
High-impact research involves studies in which the technological, 
methodological, or theoretical approach to a problem lacks an 
historical precedent or sufficient preliminary data, but whose 
successful outcome would have a major effect on a scientific area.  The 
R03 grant project may or may not lead to a subsequent successful R01 
application.

Critical research areas include: representation of medical knowledge in 
computers; organization and retrieval issues for image databases; 
enhancement of human intellectual capacities through virtual reality, 
dynamic modeling, artificial intelligence, and machine learning; 
medical decision-making; linguistic analyses of medical languages and 
nomenclatures; investigations of topics relevant to health information 
or library science; and bioinformatics issues relevant to genomics or 
other large research data-sets.

Important informatics application areas include:

Health Care Delivery and Clinical Medicine: e.g. patient safety; 
privacy, confidentiality, and information security; disaster 
management; disease management 
Public Health and Health Services: e.g. health promotion; outcome 
analysis
Bioinformatics Research:  genomics, proteomics; imaging; 
neuroinformatics

The long-term goal of this NLM program is the development of practical, 
useful knowledge and theory about medical informatics applications and 
strategies that can contribute to the health of the American people by 
predicting, preventing, or resolving health problems.  It is expected 
that successful applicants will disseminate the findings of their 
research projects by publishing in (hardcopy or electronic) 
professional journals, developing a website, presenting at scientific 
meetings, and/or conducting training.

MECHANISM(S) OF SUPPORT 

This PA will use the NIH R03 award mechanism.  As an applicant, you 
will be solely responsible for planning, directing, and executing the 
proposed project. Applicants may request up to $75,000 per year for one 
or two years in direct costs.  Support is provided for Facilities and 
Administration (F & A) costs at the organization's negotiated rate.  
Subcontractual costs are treated as direct costs and must be within the 
total direct cost cap established for this program.

This PA uses just-in-time concepts.  It also uses the modular budgeting 
format (see http://grants.nih.gov/grants/funding/modular/modular.htm).  

ELIGIBLE INSTITUTIONS 

You may submit (an) application(s) if your institution has any of the 
following characteristics: 

o For-profit or non-profit organizations. 
o Public or private institutions, such as universities, colleges, 
hospitals, and laboratories. Health organizations and academic centers 
in the 23 eligible IDeA states and Puerto Rico
http://grants.nih.gov/grants/guide/rfa-files/RFA-RR-00-006.html and 
historically black universities and colleges are welcome.
o Units of State and local governments.
o Eligible agencies of the Federal government.
o Domestic or foreign.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

Any individual with the skills, knowledge, and resources necessary to 
carry out the proposed research is invited to work with an eligible 
institution to develop an application for support.  Individuals from 
underrepresented racial and ethnic groups as well as individuals with 
disabilities are always encouraged to apply for NIH programs.

SPECIAL REQUIREMENTS 

A small grant application should include the following elements:

o  Statement of the research problem and documentation of its 
significance
o  Rationale for the project and methodology
o  Description of the data gathering and analysis
o  Description of how the findings will be interpreted and applied
o  Implications for future research
o  Plan for dissemination of the findings to the target/peer community

WHERE TO SEND INQUIRIES

We encourage your inquiries concerning this PA and welcome the 
opportunity to answer questions from potential applicants.  Inquiries 
may fall into three areas:  scientific/research, peer review, and 
financial or grants management issues:  

o Direct your questions about scientific/research issues to:

Susan M. Sparks, PhD
Extramural Programs 
National Library of Medicine
Rockledge 1, Suite 301
6705 Rockledge Drive MSC 7968
Bethesda, MD  20892
Telephone:  (301) 594-4882
FAX:  (301) 402-2952
Email:  [email protected]

o Direct your questions about peer review issues to:

Merlyn M. Rodrigues, M.D., Ph.D.
Extramural Programs
National Library of Medicine
Rockledge 1, Suite 301, 6705 Rockledge Drive
Bethesda, MD  20892
Telephone:  (301) 594-4253
FAX:  (301) 402-2952
Email: [email protected]

Direct your questions about financial or grants management matters to:

Chris Robey
Extramural Programs 
National Library of Medicine 
Rockledge 1, Suite 301 
6705 Rockledge Drive MSC 7968 
Bethesda, MD  20892 
Telephone:  (301) 496-4221 
FAX:  (301) 402-0421 
Email: [email protected]

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant 
application instructions and forms (rev. 5/2001).  The PHS 398 is 
available at http://grants.nih.gov/grants/funding/phs398/phs398.html in 
an interactive format.  For further assistance contact GrantsInfo, 
Telephone (301) 710-0267, Email: [email protected].

APPLICATION RECEIPT DATES: Applications submitted in response to this 
program announcement will be accepted at the standard application 
deadlines, which are available at http://grants.nih.gov/grants/dates.htm.
Application deadlines are also indicated in the PHS 398 application kit.

SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS:  The NLM Small 
Grant program is covered by the NIH policy requiring all applications 
requesting up to $250,000 per year in direct costs to be submitted in a 
modular grant format.  The modular grant format simplifies the 
preparation of the budget in these applications by limiting the level 
of budgetary detail. Applicants request direct costs in $25,000 
modules.  Section C of the research grant application instructions for 
the PHS 398 (rev. 5/2001) at 
http://grants.nih.gov/grants/funding/phs398/phs398.html includes 
step-by-step guidance for preparing modular grants.  Additional 
information on modular grants is available at 
http://grants.nih.gov/grants/funding/modular/modular.htm.

Biographical sketch:  If you are in training or in fellowship status at 
the time of application you should list in your biographical sketch the 
position you will occupy at the time of award with the expected start 
date in that position. If the position is contingent on receipt of the 
award then you should describe it as "contingent on award".  

Research plan: Do not exceed a total of ten pages for the following 
parts (a.-d.): Specific Aims, Background and Significance, Preliminary 
Studies/Progress Report, and Research Design and Methods.   Tables and 
figures are included in the 10-page limitation.  The 10-page limitation 
does not include parts e. through i. (Human Subjects Research, 
Vertebrate Animals, Literature Cited, Consortium/contractual 
Arrangements, Consultants). 

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten 
original of the application, including the checklist, and five 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)

In addition to the mailing to Center for Scientific Review, send two 
signed photocopies, including the checklist, to

Merlyn M. Rodrigues, M.D., Ph.D.
Extramural Programs
National Library of Medicine
Rockledge 1, Suite 301, 6705 Rockledge Drive
Bethesda, MD  20892
Telephone:  (301) 594-4253
FAX:  (301) 402-2952
Email: [email protected]

APPLICATION PROCESSING: Applications must be received by or mailed on 
or before the receipt dates described at 
http://grants.nih.gov/grants/funding/submissionschedule.htm.  The 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 a substantial revision of an 
application already reviewed, but such application must include an 
Introduction addressing the previous critique.

PEER REVIEW PROCESS

Applications submitted for this PA will be assigned for review to the 
National Library of Medicine, whose scientific review group, convened 
in accordance with the standard NIH peer review procedures 
(http://www.csr.nih.gov/refrev.htm), will evaluate applications for 
scientific and technical merit.  

As part of the initial merit review, all applications will:

o Receive a written critique
o Undergo a selection 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
o Receive a second level review by National Library of Medicine's Board 
of Regents.

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 your application in order to judge the likelihood 
that the proposed research will have a substantial impact on the 
pursuit of these goals: 

o Significance 
o Approach 
o Innovation
o Investigator
o Environment
  
The scientific review group will address and consider each of these 
criteria in assigning your application's overall score, weighting them 
as appropriate for each application.  Your 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, 
you 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 your study address an important problem? If the 
aims of your application are achieved, how do they advance scientific 
knowledge?  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?  Do you acknowledge potential problem areas and 
consider alternative tactics?

(3) INNOVATION:  Does your project employ novel concepts, approaches or 
methods? Are the aims original and innovative?  Does your project 
challenge existing paradigms or develop new methodologies or 
technologies?

(4) INVESTIGATOR: Are you appropriately trained and well suited to 
carry out this work?  Is the work proposed appropriate to your 
experience level as the principal investigator and to that of other 
researchers (if any)?

(5) ENVIRONMENT:  Does the scientific environment in which your 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?

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, your 
application will also be reviewed with respect to the following:

PROTECTIONS:  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.

INCLUSION:  The adequacy of plans to include subjects from both 
genders, all racial and ethnic groups (and subgroups), and children as 
appropriate for the scientific goals of the research.  Plans for the 
recruitment and retention of subjects will also be evaluated.

DATA SHARING:  The adequacy of the proposed plan to share data. 

BUDGET:  The reasonableness of the proposed budget and the requested 
period of support in relation to the proposed research.

OTHER REVIEW CRITERIA:

In addition to the general criteria above, your application will also 
be reviewed with respect to the following:

o Adequacy of documentation of the need for and potential significance 
of the project.
o Plans for dissemination of findings.

AWARD CRITERIA

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

o Scientific merit of the proposed project as determined by peer review
o Availability of funds 
o Relevance to program priorities

REQUIRED FEDERAL CITATIONS 

MONITORING PLAN AND DATA SAFETY AND MONITORING BOARD: 
Research components involving Phase I and II clinical trials must 
include provisions for assessment of patient eligibility and status, 
rigorous data management, quality assurance, and auditing procedures.  
In addition, it is NIH policy that all clinical trials require data and 
safety monitoring, with the method and degree of monitoring being 
commensurate with the risks (NIH Policy for Data Safety and Monitoring, 
NIH Guide for Grants and Contracts, June 12, 1998: 
http://grants.nih.gov/grants/guide/notice-files/not98-084.html).  

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH:
 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_20
01.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: (if applicable) The NIH maintains a policy 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 is available at 
http://grants.nih.gov/grants/funding/children/children.htm.  

REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: (if 
applicable) NIH policy requires education on the protection of human 
subject participants for all investigators submitting NIH proposals for 
research involving human subjects.  You will find this policy 
announcement in the NIH Guide for Grants and Contracts Announcement, 
dated June 5, 2000, at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

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.

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.   Furthermore, we caution reviewers that their 
anonymity may be compromised when they directly access an Internet 
site.

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 PA 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.

AUTHORITY AND REGULATIONS: This program is described in the Catalog of 
Federal Domestic Assistance No. 93.879, and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or 
Health Systems Agency review.  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 described 
at http://grants.nih.gov/grants/policy/policy.htm and under Federal 
Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. 

The PHS strongly encourages all grant recipients to provide a 
smoke-free workplace and discourage the 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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