Part I Overview Information

Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH), (

Components of Participating Organizations
National Institute of Dental and Craniofacial Research (NIDCR), (

Title: NIDCR Exploratory and Developmental Grants in Clinical Research (R21)

Announcement Type

This is a reissue of PAR-05-020 which was previously released November 23, 2004.

Update: The following update relating to this announcement has been issued:

NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through ( using the SF424 Research and Related (R&R) forms and SF424 (R&R) Application Guide. APPLICATIONS MAY NOT BE SUBMITTED IN PAPER FORMAT.

This FOA must be read in conjunction with the application guidelines provided with this announcement in for Grants (hereafter called

A registration process is necessary before submission and applicants are highly encouraged to start the process at least four weeks prior to the grant submission date. See Section IV.

Two steps are required for on time submission:

1) The application must be submitted to by 5:00 p.m. local time (of the applicant institution/organization) on the submission date (see “Key Dates” below).  

2) Applicants must complete a verification step in the eRA Commons within two business days of notification from NIH. Note: Since email can be unreliable, it is the responsibility of the applicant to periodically check on their application status in the Commons.

Program Announcement (PA) Number: PAR-06-246

Catalog of Federal Domestic Assistance Number(s)

Key Dates
Release/Posted Date: March 17, 2006
Opening Date:  May 2, 2006 (Earliest date an application may be submitted to
Letter of Intent Receipt Date(s): Not applicable
Application Submission Date(s):  Standard dates apply, please see 
Peer Review Date(s):
Council Review Date(s):
Earliest Anticipated Start Date:
Additional Information To Be Available Date (URL Activation Date): Not Applicable
Expiration Date:  January 3, 2008 (now January 8, 2008 per NOT-OD-07-093)

Due Dates for E.O. 12372
Not Applicable

Additional Overview Content

Executive Summary

The goal of this announcement is to broadly encourage developmental, exploratory, or pilot clinical research to: 1) document oral conditions and risk factors for oral and craniofacial diseases and disorders, 2) investigate new methods of diagnosing oral disease, 3) address behavioral and health promotion topics relevant to oral health, dental care or oral health promotion, and/or 4) identify promising culturally appropriate approaches to prevent and reduce oral health disparities.  

Table of Contents

Part I Overview Information

Part II Full Text of Announcement

Section I. Funding Opportunity Description
1. Research Objectives

Section II. Award Information
1. Mechanism of Support
2. Funds Available

Section III. Eligibility Information
1. Eligible Applicants
    A. Eligible Institutions
    B. Eligible Individuals
2. Cost Sharing or Matching
3. Other - Special Eligibility Criteria

Section IV. Application and Submission Information
1. Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
    A. Submission, Review and Anticipated Start Dates
        1. Letter of Intent
    B. Sending an Application to the NIH
    C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements

Section V. Application Review Information
1. Criteria
2. Review and Selection Process
    A. Additional Review Criteria
    B. Additional Review Considerations
    C. Sharing Research Data
    D. Sharing Research Resources
3. Anticipated Announcement and Award Dates

Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
3. Reporting

Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/ Grants Management Contact(s)

Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement

Section I. Funding Opportunity Description

1. Research Objectives


This FOA provides funds for exploratory, developmental, or pilot clinical research that can help to expand the scope of the NIDCR's clinical research portfolio and its potential impact on oral health in the U.S. Some relevant aims for exploratory studies include: 1) documenting the prevalence, incidence, and risk factors for oral and craniofacial diseases and disorders, 2) investigating new methods for diagnosing oral disease, 3) examining determinants of behaviors that influence oral health or treatment outcomes and identifying approaches to increase behaviors supporting oral health, 4) identifying culturally appropriate preventive and treatment for reducing oral health disparities, and 5) stimulating research directed at improving the oral health of special needs populations, including those with developmental or acquired physical or mental disabilities, people with mental retardation, people living with HIV/AIDS, and frail or functionally dependent elders. Small pilot clinical trials are not appropriate for submission under this PA.


The NIDCR research activities cover a broad range of diseases and conditions affecting the oral, dental and craniofacial structures. Diseases and conditions of interest to NIDCR as well as prominent gaps in knowledge are briefly described below.

Dental caries is one the most prevalent diseases. It can occur at any age after tooth eruption and primary teeth are especially vulnerable. In the U.S., 18% of preschoolers have experienced dental caries. Although the prevalence of dental caries has declined in the past three decades, this oral disease remains the most common chronic disease in the U.S. By age 17, more than 80% of adolescents are affected by dental caries. However, dental caries is not evenly distributed throughout the population. For example, approximately 25% of children 5-17 years of age experience 80% of dental caries. Studies have shown that the people at highest risk for dental caries are least able to seek help: the poor, the very young, the elderly, and those with compromising medical conditions or disabilities.

Like dental caries, periodontal diseases are an infectious disease caused by bacteria in dental plaque. Periodontal diseases range from mild forms such as gingivitis to severe forms that result in loss of periodontal support and tooth loss. Almost half of U.S. adults ages 35 to 44 have gingivitis which is a reversible inflammation of the gingiva. Approximately one-fourth has the more severe condition of periodontitis that results in periodontal attachment loss. Severe periodontal disease (6 millimeters or more of attachment loss) affects 14 percent of adults ages 45 to 54, and 23 percent of people 65 to 74-years of age. Tobacco use is a major risk factor for the development and progression of periodontal diseases. Furthermore, diabetes, particularly if poorly controlled, increases the risk for periodontal disease.

Overall, data on the prevalence and risk factors for infectious diseases such as dental caries and periodontal disease come from national surveys, which report on white Non-Hispanics, Black non-Hispanics and Mexican Americans. Limited data is available on other segments of the population such as other Hispanic subgroups, Asian and Pacific Islanders, Native Americans, other minority populations, and special needs populations. These data are critical to guide the development of effective and appropriate oral preventive and treatment modalities for people in these population groups. In addition, development and testing of new and innovative diagnostic methods for caries and periodontal diseases are needed to promote effective prevention and early intervention.

Individuals without adequate saliva may experience rampant tooth decay, mucosal infections such as candidiasis, loss of taste, and considerable oral discomfort. Salivary gland dysfunction can occur as a result of Sjögren's syndrome that affects between 1 and 4 million mostly middle-aged women. Many medications are associated with salivary dysfunction and over 30,000 individuals who have cystic fibrosis also are at higher risk for salivary gland dysfunction. In addition, each year, an estimated 40,000 people lose salivary gland function as a result of radiation treatment for head and neck cancer. Limited data exist on the epidemiology of salivary gland dysfunction and such data are needed to appropriately design research to prevent and treat this disorder.

A number of chronic and disabling pain conditions have oral, dental, and craniofacial manifestations. Epidemiologic studies suggest that orofacial pain occurs in at least 10% of the adult population. Orofacial pain by itself or as a symptom of untreated oral problems is often a major source of poor quality of life. Sources of orofacial pain include caries, some types of periodontal diseases, and neuropathic and musculoskeletal conditions. Few well-designed studies on the prevalence, etiology and pathogenesis of orofacial pain of non-dental origin are available. In addition, limited data are available on the underlying causes of muscular and joint facial pain that may involve physiological, behavioral or environmental factors.

Numerous hereditary diseases, syndromes, developmental and acquired disorders have oral and craniofacial manifestations with serious functional, esthetic and social consequences. Craniofacial anomalies are among the most common of all birth defects. Birth defects and developmental disorders can be isolated or may be part of complex hereditary diseases or syndromes. Cleft lip and cleft palate occurs in about 1 to 2 out of 1,000 births in the U.S. Diseases of the bones and connective tissue such as Paget's disease and osteogenesis imperfecta, osteoporosis, and scleroderma can have devastating oral and craniofacial effects. Similarly, ulcers and erosive lesions associated with oral and pharyngeal cancer treatment, immune dysfunction, infectious diseases such as herpes simplex, HIV/AIDS, fungal infection, aphthae as well as dermatologic and hematologic diseases may also have serious oral and general health implications. Additional research is needed to identify risk factors associated with these diseases so that effective means of preventing and treating these conditions may be developed and tested in clinical trials.

Oral facial injuries can lead to disfigurement and oral dysfunction. While it is recognized that leading causes of oral and craniofacial injuries are sport, falls and motor vehicle collisions, there has been limited research on the epidemiology, prevention, and behavioral consequences of orofacial injuries or the behavioral factors contributing to successful craniofacial repair outcomes.

The age-adjusted incidence rate of oral cancer for total oral cavity and pharynx was 10.3 per 100,000 people in 1999 and this represents approximately 3% of all cancers in the United States. The overall five-year survival rate is 53%, and it has not changed in the past thirty years. This five-year survival rate represents one of the lowest five-year survival rates of any of the major cancer sites. These low survival rates may be attributed to the fact that these cancers tend to be diagnosed at advanced stages. Moreover, treatment for these malignancies can be extremely disfiguring and often results in severe loss of function including speech impairment and the inability to swallow. Identification of effective means of screening and early cancer diagnosis is an important priority of the NIDCR. For the purpose of this FOA, people with special need include those with developmental or acquired physical or mental disabilities, people with mental retardation (MR), people living with HIV/AIDS, and frail or functionally dependent elders. Limited data is available that documents that individuals with these special needs are at increased risk for dental and oral diseases. Such data are critical to guide the development of effective and appropriate oral preventive and treatment modalities for people with special needs.

Applicants are encouraged to review the NIDCR Strategic Plan ( issued in 2003 and the NIDCR's Plan to Eliminate Oral Health Disparities (

Examples of exploratory research that would be responsive to this FOA include, but are not limited to the following:

In summary, a central focus of this PA is to encourage developmental, exploratory, or pilot epidemiological and behavioral science research that addresses goals and objectives identified in the NIDCR's Strategic Plan and that have the potential for strengthening NIDCR's portfolio of clinical research. Some of these exploratory projects may strengthen the capability for developing scientifically meritorious clinical trials by identifying pertinent risk factors or promising interventions that warrant     larger scale research efforts or multi-site clinical trials (see also

See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.

Section II. Award Information

1. Mechanism of Support

This funding opportunity will use the National Institutes of Health (NIH) Exploratory/Developmental (R21) award mechanism. As an applicant, you will be solely responsible for planning, directing, and executing the proposed project.

Exploratory/developmental grant support is for new projects only; competing renewal (formerly “competing continuation”) applications will not be accepted. Up to two resubmissions (formerly “revisions/amendments") of a previously reviewed exploratory/developmental grant application may be submitted. See NOT-OD-03-041, May 7, 2003.  

This funding opportunity uses just-in-time concepts. It also uses the modular budget formats (see the “Modular Applications and Awards” section of the NIH Grants Policy Statement. Specifically, if you are submitting an application with direct costs in each year of $250,000 or less (excluding consortium Facilities and Administrative [F&A] costs), use the PHS398 Modular Budget component provided in the SF424 (R&R) Application Package and SF424 (R&R) Application Guide (see specifically Section 5.4, “Modular Budget Component,” of the Application Guide).

2. Funds Available

The NIDCR has not set-aside funds for this FOA. The number of awards will be dependent on their scientific merit.

Because the nature and scope of the proposed research will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of the IC(s) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.

The total project period for an application submitted in response to this funding opportunity may not exceed 2 years. Direct costs are limited to $275,000 over the two years of the R21 award, with no more than $200,000 in direct costs allowed in any single year. Applicants may request direct costs in $25,000 modules, up to the total direct costs limitation of $275,000 for the combined two-year award period. For example, the applicant may request $100,000 in the first year and $175,000 in the second year.  The request should be tailored to the needs of the project.  NIH grants policies as described in the NOT-OD-05-004.  

Facilities and administrative costs requested by consortium participants are not included in the direct cost limitation, see NOT-OD-05-004.

Section III. Eligibility Information

1. Eligible Applicants

1.A. Eligible Institutions

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

1.B. Eligible Individuals

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.

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current NIH Grants Policy Statement.

3. Other-Special Eligibility Criteria

Exploratory/developmental grant support is for new projects only.  Competing continuation applications will not be accepted.  Two revisions of a previously reviewed exploratory/developmental grant application may be submitted as defined in NIH Policy at  

Section IV. Application and Submission Information

Registration and Instructions for Submission via

To download a SF424 (R&R) Application Package and SF424 (R&R) Application Guide for completing the SF424 (R&R) forms for this FOA, link to and follow the directions provided on that Web site.

A one-time registration is required for institutions/organizations at both:

PD/PIs should work with their institutions/organizations to make sure they are registered in the NIH Commons.

Several additional separate actions are required before an applicant institution/organization can submit an electronic application, as follows:

1) Organizational/Institutional Registration in Started

2) Organizational/Institutional Registration in the eRA Commons

3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.

Note that if a PD/PI is also an NIH peer-reviewer with an Individual DUNS and CCR registration, that particular DUNS number and CCR registration are for the individual reviewer only. These are different than any DUNS number and CCR registration used by an applicant organization. Individual DUNS and CCR registration should be used only for the purposes of personal reimbursement and should not be used on any grant applications submitted to the Federal Government.

Several of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their institution is already registered in both and the Commons. The NIH will accept electronic applications only from organizations that have completed all necessary registrations. 

1. Request Application Information

Applicants must download the SF424 (R&R) application forms and SF424 (R&R) Application Guide for this FOA through

Note: Only the forms package directly attached to a specific FOA can be used. You will not be able to use any other SF424 (R&R) forms (e.g., sample forms, forms from another FOA), although some of the "Attachment" files may be useable for more than one FOA.

For further assistance contact GrantsInfo, Telephone 301-710-0267, Email:

Telecommunications for the hearing impaired: TTY 301-451-5936.

2. Content and Form of Application Submission

Prepare all applications using the SF424 (R&R) application forms and in accordance with the SF424 (R&R) Application Guide (MS Word or PDF).

The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to NIH. There are fields within the SF424 (R&R) application components that, although not marked as mandatory, are required by NIH (e.g., the “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component must contain the PD/PI’s assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see “Tips and Tools for Navigating Electronic Submission” on the front page of “Electronic Submission of Grant Applications.”

The SF424 (R&R) application is comprised of data arranged in separate components. Some components are required, others are optional. The forms package associated with this FOA in APPLY will include all applicable components, required and optional. A completed application in response to this FOA will include the following components:

Required Components:

SF424 (R&R) (Cover component)
Research & Related Project/Performance Site Locations
Research & Related Other Project Information
Research & Related Senior/Key Person
PHS398 Cover Page Supplement
PHS398 Research Plan
PHS398 Checklist
PHS398 Modular Budget

Optional Components:

PHS398 Cover Letter File
R&R Subaward Budget Attachment(s) Form

Note: While both budget components are included in the SF424 (R&R) forms package, the NIH R21 uses ONLY the PHS 398 Modular Budget. (Do not use the detailed Research & Related Budget.)

Foreign Organizations

Several special provisions apply to applications submitted by foreign organizations:

Proposed research should provide a unique research opportunity not available in the United States.

3. Submission Dates and Times

See Section IV.3.A for details.

3.A. Submission, Review, and Anticipated Start Dates

Letter of Intent Receipt Date:  Not applicable
Application Submission Date(s):
Peer Review Date(s):
Council Review Date(s):
Earliest Anticipated Start Date:

3.A.1. Letter of Intent

A letter of intent is not required for the funding opportunity.

3.B. Sending an Application to the NIH

To submit an application in response to this FOA, applicants should access this FOA via and follow steps 1-4. Note: Applications must only be submitted electronically

3.C. Application Processing

Applications may be submitted to on or after the opening date and must be submitted no later than 5:00 p.m. local time (of the applicant institution/organization) on the application submission date(s). (See Section IV.3.A. for all dates.) If an application is not submitted by the submission date(s) and time, the application may be delayed in the review process or not reviewed.

Upon receipt, applications will be transferred from to the NIH Electronic Research Administration process for validation. Both the PD/PI and the Signing Official for the organization must verify the submission via Commons within 2 business days of notification of the NIH validation.

Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review, NIH. Incomplete applications will not be reviewed.

The NIH will not accept any application in response to this FOA that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. The NIH will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of an application already reviewed with substantial changes, but such application must include an “Introduction” addressing the previous critique. Note that such an application is considered a "resubmission" for the SF424 (R&R).

There will be an acknowledgement of receipt of applications from and the Commons. Information related to the assignment of an application to a Scientific Review Group is also in the Commons

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement

Pre-Award Costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new award if such costs: are necessary to conduct the project and would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new award.

The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See the NIH Grants Policy Statement

6. Other Submission Requirements

The NIH requires the PD/PI to fill in his/her Commons User ID in the “PROFILE – Project Director/Principal Investigator” section, “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component. The applicant organization must include its DUNS number in its Organization Profile in the eRA Commons. This DUNS number must match the DUNS number provided at CCR registration with For additional information, see “Tips and Tools for Navigating Electronic Submission” on the front page of “Electronic Submission of Grant Applications.”

Renewal (formerly “competing continuation” or “Type 2”) applications are not permitted.  

Specific Instructions for Modular Grant applications.

Applications requesting direct costs in each year of $250,000 or less (excluding consortium F&A costs), must be submitted in a modular budget format using the Modular Budget Component provided in the SF424 (R&R) Application Package and Instructions Guide (see specifically Section 5.4). The modular budget 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.

Application Characteristics

Note: While each section of the Research Plan needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan as a single document, separating sections into distinct PDF attachments just before uploading the files. This approach will enable applicants to better monitor formatting requirements such as page limits. All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a .pdf extension must be used.   

Plan for Sharing Research Data

No data-sharing plan is required for this R21 Exploratory/Development Grant award mechanism.

Sharing Research Resources

The development of research resources under this R21 Exploratory/Development Grant award mechanism is not anticipated.  Thus, no research resources sharing plan need be included in the application.   

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process.

2. Review and Selection Process

Applications submitted for this funding opportunity will be assigned to the ICs on the basis of established PHS referral guidelines.

Appropriate scientific review groups convened in accordance with the standard NIH peer review procedures ( will evaluate applications for scientific and technical merit.

Applications that are complete will be evaluated for scientific and technical merit by an appropriate review group convened by NIDCR in accordance with the review criteria stated below.

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

 The following will be considered in making funding decisions:

The goals of NIH supported research are to advance our understanding of biological systems, to improve the control of disease, and to enhance health. In their written critiques, reviewers will be asked to comment on each of the following criteria in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered in assigning the overall score, weighting them as appropriate for each application. Note that an 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 or clinical practice be advanced? What will be the effect of these studies on the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?  Does this study address an important problem for which developmental, exploratory, or pilot research is needed? Will the proposed R-21 research generate concepts, methods, or findings that would inform subsequent research, including but not limited to a full scale (R01) type study?

Approach: Are the conceptual or clinical framework, design, methods, and analyses adequately developed, well integrated, well reasoned, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics?

Innovation: Is the project original and innovative? For example: Does the project challenge existing paradigms or clinical practice; address an innovative hypothesis or critical barrier to progress in the field? Does the project develop or employ novel concepts, approaches, methodologies, tools, or technologies for this area?

Investigators: Are the investigators 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? Does the investigative team bring complementary and integrated expertise to the project (if applicable)?

Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed studies benefit from unique features of the scientific environment, or subject populations, or employ useful collaborative arrangements? Is there evidence of institutional support?

2.A. Additional Review Criteria:

In addition to the above criteria, the following items will continue to 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 item 6 of the Research Plan component of the SF424 (R&R).

Inclusion of Women, Minorities and Children in Research: 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 will be assessed. Plans for the recruitment and retention of subjects will also be evaluated.  See item 7 of the Research Plan component of the SF424 (R&R).

2.B. Additional Review Considerations

Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research may be assessed by the reviewers. Is the percent effort listed for the PD/PI appropriate for the work proposed? Is each budget category realistic and justified in terms of the aims and methods?

Period of Support: The appropriateness of the requested period of support in relation to the proposed research.

2.C. Sharing Research Data

Sharing of research data is not required.

2.D. Sharing Research Resources

Sharing research resources is not required.

3. Anticipated Announcement and Award Dates


Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons.

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Also Section IV.5. Funding Restrictions.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General ( and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (

3. Reporting

Awardees will be required to submit the PHS Non-Competing Grant Progress Report, Form 2590 annually ( and financial statements as required in the NIH Grants Policy Statement.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity 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:

1. Scientific/Research Contacts:

For questions related to health disparities, special needs, older, and underserved population research issues contact:

Dr. Ruth Nowjack-Raymer
Center for Clinical Research
National Institute of Dental and Craniofacial Research
Building 45, Room 4AS43J
45 Center Drive, MSC 6401
Bethesda, MD 20892
Telephone: (301) 594-5394
Fax: (301) 480-8322

For questions related to general population research issues contact:

Dr. Maria Teresa Canto
Center for Health Promotion and Behavioral Research
National Institute of Dental and Craniofacial Research
Building 45, Room 4AS43D
45 Center Drive MSC 6401
Bethesda, MD 20892
Telephone:  (301) 594-5497
FAX:  (301) 480-8319

2. Peer Review Contacts:

Lynn Mertens King, Ph.D.
Chief, Scientific Review Branch
National Institute of Dental and Craniofacial Research
Building 45, Room Number 4AN-32F
45 Center Drive
Bethesda, MD 20892-6402
Telephone: (301) 594-5006
Fax: (301) 480-8303

3. Financial or Grants Management Contacts:

Mary Daley
Grants Management Officer
National Institute of Dental and Craniofacial Research
National Institutes of Health
Building 45, Room 4AN44B
45 Center Dr., MSC 6402
Bethesda, MD 20892-6402
Telephone:  (301) 594-4808
Fax:  (301) 480-3562

Section VIII. Other Information

Required Federal Citations

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 (

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 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 funding opportunity 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.

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 "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research (; a complete copy of the updated Guidelines is 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 SF424 (R&R); 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 Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them.

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 (

Required Education on the Protection of Human Subject Participants:
NIH policy requires education on the protection of human subject participants for all investigators submitting NIH applications for research involving human subjects and individuals designated as key personnel. The policy is available at

NIH Public Access Policy:
NIH-funded investigators are requested to submit to the NIH manuscript submission (NIHMS) system ( at PubMed Central (PMC) an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. The author's final manuscript is defined as the final version accepted for journal publication, and includes all modifications from the publishing peer review process.

NIH is requesting that authors submit manuscripts resulting from 1) currently funded NIH research projects or 2) previously supported NIH research projects if they are accepted for publication on or after May 2, 2005. The NIH Public Access Policy applies to all research grant and career development award mechanisms, cooperative agreements, contracts, Institutional and Individual Ruth L. Kirschstein National Research Service Awards, as well as NIH intramural research studies. The Policy applies to peer-reviewed, original research publications that have been supported in whole or in part with direct costs from NIH, but it does not apply to book chapters, editorials, reviews, or conference proceedings. Publications resulting from non-NIH-supported research projects should not be submitted.

For more information about the Policy or the submission process please visit the NIH Public Access Policy Web site at and view the Policy or other Resources and Tools including the Authors' Manual (

Standards for Privacy of Individually Identifiable Health Information:
The Department 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).

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.

Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see:

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NIH Funding Opportunities and Notices

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