RELEASE DATE:  September 13, 2002

PA NUMBER:  PAR-02-166

EXPIRATION DATE:  October 2005, unless reissued.

National Institute of Mental Health (NIMH)

APPLICATION RECEIPT DATE: Standard Receipt Dates – See 


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


The National Institute of Mental Health (NIMH) announces a program for 
competitive supplements to support interdisciplinary research and education on 
active interdisciplinary HIV/AIDS research grants funded through the Center for 
Mental Health Research on AIDS (CMHRA).  This competitive supplement program 
encourages and supports HIV/AIDS interdisciplinary research and career 
development for qualified candidates through an AIDS-expedited application 
process.  This supplement program was developed in response to the 
recommendation from the report by the National Advisory Mental Health Council's 
Behavioral Science Workgroup that "funding agencies should establish a grant 
supplement program to foster interdisciplinary training and research" (available 
at  The goals of this initiative are 
to:  (1) expand and foster the independent research capabilities of the 
candidate; and (2) strengthen the ongoing research program of the parent grant.  
It is anticipated that, as a result of successful research efforts provided 
through this supplement, the interdisciplinary-supported individual will be in a 
position to apply for a research (R) award or a career development (K) award.



The complexity and interconnections of the rapidly growing area of the 
neuroscience and psychobiology of HIV-related disease underscores the need to 
provide research opportunities to young investigators so that they may break new 
ground in this area.  It is anticipated that some of the most significant 
insights and advances in HIV disease are likely to emerge as a result of 
recognizing and appreciating the intricate interplay among the brain, 
environment and behavior.  Interdisciplinary and translational research 
approaches among basic, clinical and services research are potentially powerful 
approaches to integrate the rapidly advancing findings in HIV/AIDS research.  
Yet, there seems to be disciplinary fragmentation, with researchers from basic, 
clinical and services areas working in different venues.

Interdisciplinary research is defined as an integrated effort by a team of 
scientists using different concepts and different methodologies to address a 
common problem.  Translational research is referred to as a form of 
interdisciplinary research that attempts to translate and apply research 
findings from one domain to another.  Three major areas of HIV/AIDS research 
(HIV prevention science, NeuroAIDS, HIV therapeutics) would be facilitated and 
enriched through an organized research program with researchers employing 
different approaches.  Research in these domains draws upon a number of 
disciplines such as epidemiology, neuropsychology, brain imaging, 
neuropathology, genetics, molecular biology, immunology, and behavioral and 
social sciences.  It will be essential to transfer knowledge among these 
research domains to increase dissemination and utilization of research findings.


The proposed research experience must encompass an interdisciplinary or 
translational research approach as defined above.  In all cases, the proposed 
research must be an integral part of the ongoing interdisciplinary HIV/AIDS 
research program supported by the parent grant and have the potential to 
significantly contribute to the research career development of the 
interdisciplinary candidate.  The research proposed should add a dimension that 
is consistent with the interdisciplinary approach of the existing parent grant 
and can realistically be expected to enhance the scope of the parent project.  
Supplemental awards will be consistent with the goal of broadening the existing 
research program and the overall programmatic balance and priorities of the 
CMHRA.  As part of this research experience, the Principal Investigator (PI) 
must describe a plan by which the interdisciplinary candidate will have the 
opportunity to interact with individuals on the parent grant, in order to 
contribute intellectually to the research and to enhance his/her research skills 
and knowledge regarding the particular scientific areas.  This will include the 
conduct of a research project that is supplementary, but directly related to the 
goals of the parent grant.  Furthermore, the PI must demonstrate a willingness 
and understanding that the purpose of the award is to enhance the research 
capability of the interdisciplinary candidate and that the research experience 
is intended to provide opportunities to develop as an independent, competitive 
research investigator.

Mentorship is a key part of this competitive supplement program that will 
complement the research and career development in interdisciplinary HIV research.  
It is expected that the PI will not only be involved in supervising the 
candidate's scientific progress, but also will be actively engaged in the 
candidate's mentorship and career development to increase his/her chances of 
pursuing a biomedical research career.  The primary scientific mentor must be 
the PI of the grant requesting the supplement.  Since interdisciplinary research 
involves more than one discipline, it may be necessary to identify a co-mentor 
in the secondary disciplines.  Together with the candidate, the primary mentor 
is responsible for the planning, direction, and execution of the program.  In 
addition, the primary mentor will assist the candidate in the development of a 
subsequent competitive research grant application with the pilot data supported 
by this supplement.  The mentor should be recognized as an accomplished 
investigator in the proposed research area and have a track record of success in 
training independent investigators.


This PA will use the NIH competing supplement mechanism to ongoing NIMH-funded 
R01 grants only.  Applicants will be solely responsible for planning, directing, 
and executing the proposed project.  The total project period for an application 
submitted in response to this PA may not be less than 1 year, thus, the 
remaining project period of the parent grant must be not less than 1 year at the 
time of award.  Further, the duration of the entire supplement may not exceed 
the remaining period of support for the parent grant.  Only one application may 
be submitted per parent grant.  Direct costs for this supplement may not exceed 
$100,000 per year.  This PA uses just-in-time concepts.  It also uses the 
modular budgeting format. (see Since the direct costs 
of the supplements will always be less than $250,000 yearly, the modular format 
is required.


NIMH intends to fund approximately 3-5 supplements.  Funds will be provided to 
conduct interdisciplinary and translational research studies by scientists at 
the postdoctoral and junior faculty levels, located at the grantee institution 
and related directly to active interdisciplinary HIV/AIDS research grants.


Only applications proposing research at the same site as the parent grant may be 
considered for this supplemental program.  The work should be a logical 
extension of the goals and objectives of the parent grant, but may constitute 
new research or program expansion.  A research plan redundant with any portion 
of the studies approved under the parent grant will not be supported under this 
supplement program.


Applications may be submitted on behalf of candidates who have the 
qualifications noted below.
o  Postdoctoral candidates.  Postdoctoral research candidates includes 
individuals who have received a Ph.D., D.V.M., D.D.S., M.D., or a comparable 
doctoral degree from an accredited domestic or foreign institution.  This 
program will provide support for candidates who wish to participate as 
postdoctoral researchers in ongoing research projects and career development 
experiences in preparation for independent careers in biomedical, behavioral and 
clinical research.  It might be appropriate for residents who wish to take a 
hiatus from their clinical training to participate in research.  The candidate 
must be affiliated with and located at the grantee institution.

o  Junior faculty candidates.  This program aims to help implement career 
development programs that encourage junior faculty of the grantee institution to 
engage in interdisciplinary AIDS research.

Allowable costs may include salary and fringe benefits for the candidate, costs 
for consultants, supplies, travel to scientific meetings, tuition and fees, and 
any other essential costs related to the research and education plan associated 
with the parent grant, not otherwise available at the grantee institution.  
Funds will NOT be provided for off-site costs or rent, and any request for 
equipment must include compelling justification since this is a short-term 
program supplemental to an ongoing grant.  The initial award period will be 
pro-rated to the end of the parent grant budget period.

The salary must be consistent with the effort devoted to the supplement; the 
established salary structure at the grantee institution; and with salaries 
actually provided by the grantee from his/her own funds to other postdoctoral 
and junior faculty with equivalent qualifications, rank, and responsibilities in 
the applicable department.  The total direct costs for each supplement may not 
exceed $100,000.


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

o  Direct your questions about scientific/research issues to:

David M. Stoff, Ph.D.
Center for Mental Health Research on AIDS
Division of Mental disorders, Behavioral Research and AIDS
National Institute of Mental Health
6001 Executive Boulevard, Room 6210, MSC 9619
Bethesda, MD  20892-9619
Telephone:  (301) 443-4625
FAX:  (301) 443-9719

o  Direct your questions about review  matters to:

Michael Kozak, Ph.D.
Chief, Extramural Review Branch
Division of Extramural Activities
National Institute of Mental Health
6001 Executive Boulevard, Room 6138, MSC 9608
Bethesda, MD  20892-9608
Telephone:  (301) 443-1340
FAX:  (301) 594-0702

o  Direct your questions about financial or grants management matters to:

Brian Albertini
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD  20892-9605
Telephone:  (301) 443-0004
FAX:  (301) 443-0219


Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at in an interactive format.  
For further assistance contact GrantsInfo, Telephone (301) 710-0267, Email:

APPLICATION RECEIPT DATES:  Applications submitted in response to this program 
announcement will be accepted on January 2 and September 1 of each year for the 
next 3 years.

up to $250,000 per year in direct costs must 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 includes step-by-step 
guidance for preparing modular grants.  Additional information on modular grants 
is available at

minimum of 1 full year of support remaining on the parent grant at the time of 
the award of the supplement.  The supplement cannot exceed the period of the 
parent grant support.  To apply for a competitive supplement, the PI, on behalf 
of the proposed candidate, must submit the following information:

o  A completed Grant Application PHS 398 with appropriate signatures on the face 
page.  Include the title and grant number of the parent grant on line 1 and the 
PA Number of this program announcement on line 2 with the type of supplement 
requested (i.e., Competitive HIV/AIDS Interdisciplinary).  WHILE THE R01 

o  Applications should have the normal Description on page 2 as described in PHS 
398 which should describe the proposed supplemental activity and how it relates 
to the parent grant.

o  In addition to the Biographical sketch of the PI, one should be included for 
the candidate, that gives evidence of scientific achievements and interest.

o  Resources available, adequacy of the environment, and representation of 
expertise from multiple disciplines for interdisciplinary work.

o  A one page introduction, prepared by the Principal investigator, that 
includes the grant number of the funded grant or project, summary or abstract, 
and specific aims.

o  The Research Plan should provide a description of the supplemental project 
developed by the PI, in conjunction with the candidate, including:

a.  A description of the research project proposed.

b.  A description of how the proposed research relates to the specific research 
goals and objectives of the parent grant.

c.  Expected overall impact on ongoing research

d.  Methodology proposed, technical and/or analytical expertise used, 
statistical plan.

e.  Possible results, plans for independent confirmation and follow-up studies 
and for dissemination of results.

f.  A description of how the research experience will foster the independent 
research capabilities of the candidate.

o  A one-page statement from the candidate outlining his/her objectives and 
career goals.

o  A one-page statement from the mentor describing their supervisory 
experiences, and their plans for education and research development of the 

SENDING AN APPLICATION TO THE NIH:  Submit a signed, typewritten original of the 
application (the Research Plan is expected to be no longer than 15 pages), 
including the checklist, and three signed photocopies in one package to:

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 

Jean G. Noronha, Ph.D.
NIMH Referral Liaison
National Institute of Mental Health
6001 Executive Blvd, Room 6154, MSC 9609
Bethesda, MD 20892-9609
Rockville, MD 20852 (for express/courier service)
Telephone:  (301) 443-3367
FAX:  (301) 443-4720

APPLICATION PROCESSING:  Applications must be received by or mailed on or before 
the application receipt dates listed in the heading of the program announcement.  
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.


Upon receipt, applications will be reviewed for completeness by the CSR and by 
NIMH program staff for adherence to the guidelines of this PA.  Applications 
that are incomplete and those applications that do not adhere to the guidelines 
of this PA will be returned to the applicant without review.  Applications that 
will be evaluated for scientific and technical merit by an appropriate peer 
review group convened by the NIMH in accordance with the review criteria stated 
below.  As part of the initial merit review, all applications will:

o  Receive a written critique and priority score
o  Receive a second level review by the National Advisory Mental Health Council


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. Applications will be 
evaluated according to the following criteria:

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.  Particular emphasis will be given to the interconnectedness 
of the questions being asked and the degree to which the proposal asks 
integrated research questions that include multiple disciplines.  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 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 
methods? Are the aims original and innovative? Does the project challenge 
existing paradigms or develop new methodologies or technologies?

(4) Investigator:  Is the principal investigator appropriately trained and 
well suited to advise the candidate in carrying 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 

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

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

o  the adequacy of the proposed protection for human subjects, animals or the 
environment, to the extent they may be adversely affected by the project 
proposed in the application.

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

o  The qualifications of the candidate including career goals, prior research 
training, research potential and any relevant experience.

o  The likelihood that successful research efforts by the candidate will make 
a significant contribution and provide data leading to submission of 
competitive grant applications by the candidate.

o  Prior and planned supervisory activities of the primary scientific mentor. 

o  Qualifications of the primary mentor as an expert in a discipline that is a 
major thrust of the proposed project.

o  The adequacy of the research activities, resources, and expertise to support 
AIDS-related interdisciplinary efforts.


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


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 differences.

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

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

HUMAN EMBRYONIC STEM CELLS (hESC):  Criteria for federal funding of research on 
hESCs can be found at and at  Only research 
using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry 
will be eligible for Federal funding (see  It is the 
responsibility of the applicant to provide the official NIH identifier(s)for the 
hESC line(s)to be used in the proposed research.  Applications that do not 
provide this information will be returned without review.

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.

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

AUTHORITY AND REGULATIONS:  This program is described in the Catalog of Federal 
Domestic Assistance No. 93.242 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 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 

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