RELEASE DATE:  February 13, 2004

PA NUMBER:  PAR-04-062 

March 2, 2006 (NOT-OD-06-046) – Effective with the June 1, 2006 submission date, 
all R03, R21, R33 and R34 applications must be submitted through 
using the electronic SF424 (R&R) application. Accordingly, the portion of this 
funding opportunity relating to these mechanisms expires on the date indicated 
below. A Replacement R03 (PAR-06-263) funding opportunity announcement has been 
issued for the submission date of June 1, 2006 and submission dates thereafter.

Other Related Notices: NOT-DC-06-002 and NOT-DC-05-003

EXPIRATION DATE:  March 16, 2006

Department of Health and Human Services (DHHS)

National Institutes of Health (NIH)

National Institute on Deafness and Other Communication Disorders (NIDCD) 


APPLICATION RECEIPT DATES:  2004  April 22    July 15     Nov. 15
                            2005  March 15    July 15     Nov. 15
                            2006  March 15    July 14     Nov. 15


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


This Program Announcement (PA) supersedes all previous announcements of the 
National Institute on Deafness and Other Communication Disorders (NIDCD) Small 
Grant (R03) Program for support of pilot research that is likely to lead to a 
subsequent individual research project grant (R01) application. The research 
must be focused on one or more of the areas within the biomedical and behavioral 
scientific mission of the NIDCD:  hearing, balance, smell, taste, voice, speech, 
or language.

The NIDCD Small Grant (R03) Program is designed to support basic and clinical 
research of scientists who are in the early stages of establishing an 
independent research career.  The Small Grant (R03) Program may be used to 
support individuals transitioning from postdoctoral status to their first 
independent research position.  In addition, the Program may be used by 
early-stage clinician-scientists planning to make future application for an 
NIDCD mentored research career development award (K-award) to demonstrate the 
feasibility of the research to be proposed in their K-award application. 


The Small Grant (R03) Program supports the research of scientists who are in the 
early stages of establishing an independent research career in the basic and 
clinical sciences of human communication, including individuals transitioning 
from postdoctoral status to their first independent research position. 
Applicants are typically within ten years of obtaining a terminal professional 
degree (e.g., M.A., Ph.D. or M.D.), excluding years spent in clinical training. 
Allowances are made for the years spent in clinical service delivery and heavy 
teaching responsibilities. Applicants are not required to have their own 
independent research space or equipment.  It is intended that an R03 grant will 
enable such individuals to obtain the amount of preliminary data that is likely
to lead to a subsequent individual research project grant (R01) application.

The NIDCD encourages early-stage clinician-scientists planning to make future 
application for an NIDCD mentored research career development award (K-award), 
such as the Mentored Clinical Scientist Development Awards (K08) or Mentored 
Patient-Oriented Research Career Development Awards (K23), to consider applying 
for one year of support through an NIDCD R03 award, if needed, to demonstrate 
the feasibility of the research to be proposed in their K08 or K23 application.  
In addition, recipients of a NIDCD mentored K-award may hold an R03 concurrently 
if additional research development support is needed to transition to 
independence.  During the last two years of a mentored K-award, awardees may 
adjust their effort on the K-award in order to obtain salary support, as 
Principal Investigator, from a NIH research project grant, including an R03 
grant, as per a recently adopted NIH policy 
Additional details on these provisions and the availability of other types of 
research support to the K-awardee can be obtained from the NIDCD web site 


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.  

This PA uses just-in-time concepts.  It also uses the modular budgeting format. (See   Specifically, if you are 
submitting an application with direct costs in each year of $250,000 or less, use the 
modular budget format.  This program does not require cost sharing as defined in the 
current NIH Grants Policy Statement at  

Applications may be submitted for up to 2 modules of $25,000 each ($50,000 Direct Costs 
per year), for up to three years of support. The total cost (Direct plus Facilities and 
Administrative costs (F & A costs)) for any consortium/contractual arrangement must be 
included within the overall requested direct cost amount for the application, which 
cannot exceed $50,000. 


You may submit (an) application(s) if your institution has any of the following 
o For-profit or non-profit organizations 
o Public or private institutions, such as universities, colleges, hospitals, and 
o Units of State and local governments
o Eligible agencies of the Federal government  
o Domestic institutions/organizations
o Faith-based or community-based institutions
o Foreign institutions are not eligible to apply 


Any individual with the skills, knowledge, and resources necessary to carry out the 
proposed research is invited to work with their 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.

Former recipients of Federally-funded National Research Service Award (NRSA) 
fellowships and traineeships or mentored career development awards are eligible for 
this R03 Program.  Individuals who have served as Principal Investigators on any NIH 
research grant (including subprojects of program project and center grants) or other 
Federally-funded research grants (e.g., NSF) are not eligible for the NIDCD Small Grant 
(R03) Program.

Other questions about eligibility may be directed to one of the program 
officials listed under INQUIRIES.


The specific R03 guidelines listed below (e.g., page limitations, number of copies, 
application dates) supersede the PHS 398 instructions.

New and amended applications submitted in response to this PA have the same receipt 
date.  If a prior submission in response to the previous NIDCD R03 Small Grant PA,
PA-01-126, was not funded and the investigator wishes to resubmit an application on
the same topic in response to this PA, it is to be submitted as an amended (-A1) 
application using the current guidelines.  An NIDCD R03 Small Grant is not renewable.  

Only one Small Grant application may be submitted by a Principal Investigator per 
receipt date.  Applicants may not submit an R01 application on the same topic 
concurrently (i.e., to be considered within the same review cycle) with the submission 
of a Small Grant application.

The research plan should not exceed ten pages.  Information regarding 
specific aims, background and significance, preliminary studies/progress 
report, and research design and methods are all included in this ten-page limit.
For revised/amended applications, an Introduction (not to exceed one page) in addition 
to the Research Plan is required.  This Introduction, which is not included in the ten-
page limit, must include responses to the criticisms and issues raised in the summary 
statement. The changes in the Research Plan must be clearly marked by appropriate 
bracketing, indenting or changing of typography, unless the changes include most of the 
text.  Changes should be highlighted in the Introduction. 

Up to five publications, submitted manuscripts, or abstracts may also be included as 
Appendix material.  (Please refer to PHS 398 application for additional Appendix 
guidelines.)  Letters of reference are not required. 

Applications that exceed the page limit indicated above or requirements for type/font 
size and margins (refer to PHS 398 for details) may be returned to the investigator 
without review.  


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:


Dr. Amy Donahue
Telephone: (301) 402-3458

Dr. Nancy Freeman
Telephone: (301) 402-3458

Dr. Lynn Luethke
Telephone: (301) 402-3458

Dr. Bracie Watson
Telephone:  (301) 402-3458
Dr. Christopher Platt
Telephone:  (301) 402-3458

Dr. Barry Davis
Telephone:  (301) 402-3464

Voice and Speech:
Dr. Lana Shekim
Telephone: (301) 496-5061

Dr. Judith Cooper
Telephone:  (301) 496-5061

Research Training:
Dr. Daniel Sklare
Telephone: (301) 496-1804

The address and FAX number for the above-named persons are:

Division of Scientific Programs
National Institute on Deafness and Other Communication Disorders
6120 Executive Boulevard, EPS Room 400C, MSC-7180
Bethesda, MD  20892-7180
FAX:  (301) 402-6251

o Direct your questions about peer review issues to: 

Melissa J. Stick, Ph.D., MPH
Chief, Scientific Review Branch
Division of Extramural Activities
National Institute on Deafness and Other
Communication Disorders
6120 Executive Blvd., Rm 400C
Bethesda, Maryland, 20892-7180

Telephone: (301) 496-8683
FAX: (301) 402-6250

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

Sara Stone
Chief, Grants Management Office
Division of Extramural Research
National Institute on Deafness and Other Communication Disorders
6120 Executive Boulevard, EPS Room 400B, MSC-7180
Bethesda, MD  20892-7180

Telephone:  (301)402-0909
FAX:  (301) 4021758


Applications must be prepared using the PHS 398 research grant application instructions 
and forms (rev. 5/2001). Applications must have a Dun and Bradstreet (D&B) Data 
Universal Numbering System (DUNS) number as the Universal Identifier when applying for 
Federal grants or cooperative agreements. The DUNS number can be obtained by calling 
(866) 705-5711 or through the web site at The DUNS 
number should be entered on line 11 of the face page of the PHS 398 form. The PHS 398 
is available at in an 
interactive format.  For further assistance contact GrantsInfo,
Telephone (301) 710-0267, Email:

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

up to $250,000 per year in direct costs must be submitted in a modular budget grant 
format.  The modular budget 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

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of the 
application (less the Appendix), 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)

Please send an additional two copies and five sets of Appendices to:

Chief, Scientific Review Branch
Division of Extramural Research
National Institute on Deafness and Other Communication Disorders
6120 Executive Boulevard, EPS Room 400-C, MSC 7180
Bethesda, MD  20892-7180
Rockville, MD  20852 (for express/courier service)

APPLICATION PROCESSING: Applications must be received by the date listed on the first 
page. 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 unfunded version of an application already reviewed, but 
such application must include an Introduction addressing the previous critique.  

Although there is no immediate acknowledgement of the receipt of an application, 
applicants are generally notified of the review and funding assignment within 8 weeks.


Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by the NIDCD. Incomplete applications will not be reviewed.  
Applications that are complete and responsive to the PA will be evaluated for 
scientific and technical merit by an appropriate peer review group convened by the 
NIDCD in accordance with the review criteria stated below.

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

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 written critique
o Receive a second level review by the NDCD Advisory 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 evaluate application in order to judge the likelihood that 
the proposed research will have a substantial impact on the pursuit of these goals.  
The scientific review group will address and consider each of the following criteria in 
assigning the application’s overall score, weighting them as appropriate for each 

o Significance 
o Approach 
o Innovation
o Investigator
o Environment

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.

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?

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?

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?

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)?

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? 

ADDITIONAL REVIEW CRITERIA:  In addition to the above criteria, the following items 
will be considered in the determination of scientific merit and the priority score: 

PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of human subjects and 
protections from research risk relating to their participation in the proposed research 
will be assessed. (See criteria included in the section on Federal Citations, below).

include subjects from both genders, all racial and ethnic groups (and subgroups), and 
children as appropriate for the scientific goals of the research will be assessed.  
Plans for the recruitment and retention of subjects will also be evaluated. (See 
Inclusion Criteria in the sections on Federal Citations, below).

CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals are to be used in 
the project, the five items described under Section f of the PHS 398 research grant 
application instructions (rev. 5/2001) will be assessed.  


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


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 

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

The submission, review, and award schedule for the Small Grant Program through 2006 is:

APPLICATION RECEIPT DATES:  April 22, 2004    July 15, 2004    Nov 15, 2004
                            March 15, 2005    July 15, 2005    Nov 15, 2005
                            March 15, 2006    July 14, 2006    Nov 15, 2006
NIDCD Initial Review Panel: June/July         Oct/Nov          Feb/March
Council Review:             Sept              Jan              May
Earliest Start Date:        December          April            July


HUMAN SUBJECTS PROTECTION:  Federal regulations (45CFR46) require that applications and 
proposals involving human subjects must be evaluated with reference to the risks to the 
subjects, the adequacy of protection against these risks, the potential benefits of the 
research to the subjects and others, and the importance of the knowledge gained or to 
be gained.

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 "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.

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 

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, in the project description and 
elsewhere in the application as appropriate, 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. 

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.

of Health and Human Services (DHHS) issued final modification to the “Standards for 
Privacy of Individually Identifiable Health Information”, the “Privacy Rule,” on August 
14, 2002.  The Privacy Rule is a federal regulation under the Health Insurance 
Portability and Accountability Act (HIPAA) of 1996 that governs the protection of 
individually identifiable health information, and is administered and enforced by the 
DHHS Office for Civil Rights (OCR). Those who must comply with the Privacy Rule 
(classified under the Rule as “covered entities”) must do so by April 14, 2003  (with 
the exception of small health plans which have an extra year to comply).  

Decisions about applicability and implementation of the Privacy Rule reside with the 
researcher and his/her institution. The OCR website ( provides 
information on the Privacy Rule, including a complete Regulation Text and a set of 
decision tools on “Am I a covered entity?”  Information on the impact of the HIPAA 
Privacy Rule on NIH processes involving the review, funding, and progress monitoring of 
grants, cooperative agreements, and research contracts can be found at

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 at and is not subject to the intergovernmental review 
requirements of Executive Order 12372 or Health Systems Agency review.  Awards are made 
under the authorization of Sections 301 and 405 of the Public Health Service Act as 
amended (42 USC 241 and 284) and under Federal Regulations 42 CFR 52 and 45 CFR Parts 
74 and 92.  All awards are subject to the terms and conditions, cost principles, and 
other considerations described in the NIH Grants Policy Statement.  The NIH Grants 
Policy Statement can be found at

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.

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
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