PREVENTIVE INTERVENTION RESEARCH CENTERS NIH GUIDE, Volume 23, Number 7, February 18, 1994 PAR NUMBER: PAR-94-038 P.T. 34 Keywords: Disease Prevention+ Mental Disorders National Institute of Mental Health PURPOSE The National Institute of Mental Health (NIMH) invites applications for Preventive Intervention Research Centers (PIRCs) whose main goal is to bridge basic and clinical sciences, state-of-the-art methodologies, and public health research approaches, in order to address pressing prevention research problems that require multi-disciplinary, integrated research strategies. This program announcement is responsive to recommendations from the Institute of Medicine (Reducing Risks for Mental Disorders: Frontiers for Preventive Intervention Research) and the National Prevention Conference (The Prevention of Mental Disorders: A National Research Agenda). It also addresses recommendations outlined under "The National Plan for Research on Child and Adolescent Mental Disorders." HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. The PA, Preventive Intervention Research Centers, is related to the priority areas of suicide and mental disorders. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0) or" Healthy People 2000" (Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325, (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS Applications may be submitted by public and private for-profit and non-profit domestic organizations such as universities, colleges, hospitals, laboratories, research institutions, units of State or local governments, and eligible agencies of the Federal government. Women and minority investigators are encouraged to apply. MECHANISMS OF SUPPORT Applications may be submitted using the developing center (P20) and mature center (P30) funding mechanisms. Support for a Developing PIRC (P20) may be requested for a single, non-renewable five-year period only, with a maximum request of $300,000 per year, plus negotiated institutional indirect costs. Support for a Mature Center (P30) can be requested for renewable five-year funding periods, with a maximum request of $1,000,000 per year, plus negotiated institutional indirect costs. Because the nature and scope of the research proposed in response to this PA may vary, it is anticipated that the size of an award will also vary. RESEARCH OBJECTIVES Background Since 1982, the NIMH has supported a number of Preventive Intervention Research Centers (PIRCs) with the aim of providing productive research environments where teams of investigators from a variety of disciplines would interact and develop focused programs of research on the prevention of mental and behavioral disorders and dysfunctions, and the promotion of mental health. To date, the PIRCs have included both infrastructure or core functions, as well as support for a set of interrelated research projects. Under the current announcement, PIRCs will move to a core function model; Center grants will cover cross cutting research functions such as data management, field coordination, and research planning and development activities around a substantive theme or set of themes. Costs for fully developed projects emerging from the Centers will be covered through regular research grant mechanisms. PIRC Characteristics and Functions Although the specific structure and organization of individual Centers will vary, all PIRCs are expected to help build the field of mental health prevention and promotion research by providing scientific leadership, an environment of research excellence, and models of community outreach and collaboration. To fulfill the mission outlined above, PIRCs are expected to perform a number of critical functions. These functions may be represented as individual core units of the Center, or they may be clustered together. In either case, all of the functions must be addressed in PIRC applications, although the relative emphasis of functions may vary from site to site. Functions include, but are not limited to: o Research agenda and theory development. PIRCs are expected to develop an organizing prevention/promotion research theme or set of themes and a research agenda that define the mission of the Center. For each theme, PIRC applications are expected to review the relevant empirical and theoretical literature, identify major unresolved issues, and present a plan for developing a rigorous, theory driven, multi-disciplinary research program to address these outstanding questions and clarify theory. o Methodology. PIRCs are expected to provide state-of-the-art, sophisticated methodological expertise to all Center related research projects. This function includes, but is not limited to, sample development, methods and instrument development, assessment and diagnosis, research design, statistics, and primary and secondary data analysis. PIRCs can also support relevant biological and behavioral research laboratories. PIRCs are strongly encouraged, where appropriate, to include a focus on methodological research aimed at solving design and statistical problems of critical importance to longitudinal field trials. o Data management. PIRCs are expected to provide state-of-the-art data management efforts in order to facilitate all aspects of data processing and analysis, and timely production of research publications. o Knowledge and technology transfer. PIRCs are expected to sponsor meetings and symposia in their thematic area, produce a variety of scientific publications and other outreach activities to disseminate findings and successful intervention technologies, and highlight ethical issues in preventive intervention research. o Mentoring. PIRCS are expected to provide prevention research scientist opportunities to new and established investigators. Special attention should be given to the recruitment of minority investigators. Centers are encouraged to apply for grants available to support developing scientists. The number of personnel awarded will depend upon the capacity of the Center's scientists, but will not exceed 15 percent of the awarded direct costs for the Center. o Opportunities for research collaboration. PIRCs are strongly encouraged to capitalize on opportunities for cross site and cross research project collaborations, where appropriate. Collaborative research planning activities, including piloting, can be included as PIRC sponsored activities. Fully developed collaborative projects will be funded through regular research grant mechanisms. o Community sanction/liaison. PIRCs are expected to develop and disseminate model processes for achieving community sanction and cultural competence for all aspects of prevention field experiments. Developing and Mature Centers There are two categories of grant applications under the PIRC program: applications for Developing Centers (P20) and applications for Mature Centers (P30). Although there is no absolute criterion to distinguish who should apply in which category, the following guidelines apply: o The category of Developing Centers (P20) is appropriate for institutions that are either (a) interested in developing a critical mass of research scholars necessary to conduct state-of-the-art prevention research, or (b) already have a critical mass of researchers from relevant disciplines, who are interested in re-focusing and integrating their research around a preventive intervention theme. Applicants in this category must have strong track records in research (although not necessarily in prevention research) and show promise of developing into fully functioning prevention research Centers. Developing Centers have research themes and existing collaborations, but need funds to recruit additional scientists, expand core functions, or fully develop a multi-disciplinary prevention research agenda. Each Developing PIRC will provide research experiences for at least two preceptees annually, to be selected from scientific disciplines related to the goals of the Center. Preceptorships are defined as supervised research experience. Each Center should relate functionally with relevant departments of professional and graduate schools, as are appropriate to the needs of the preceptees. o Mature Centers (P30) are fully developed entities that have the capacity to rapidly become mature, state-of-the-art research Centers by virtue of previous commitments of institutional resources, recruitment and/or development of an existing critical mass of prevention research scholars, the presence of substantial recent prevention publications in peer-reviewed research journals, active preventive intervention research grants, etc. In Mature PIRCs, funds can be requested to support research career development candidates at the same level of experience as would be appropriate for NIMH-supported scientist development and academic awards. Specific Research Topics In keeping with the public health mission of prevention research, PIRC research programs will generally focus on randomized controlled intervention trials, but may include studies that span the entire scientific continuum. For example, PIRCs can include generative risk factor and model building research to inform theory on the etiology and development of psychopathology (hypothesis development). The research program can also include methods development relevant to the design and testing of a new intervention model, or to the development of innovative design and analytical approaches for the field as a whole. Centers are also strongly encouraged to include cost-effectiveness and cost-benefit studies wherever appropriate in their research agenda. Intervention trials should be of two types: experimental tests of efficacy (controlled intervention trials of new intervention strategies) and of effectiveness (testing of efficacious interventions in controlled trials involving representative, defined populations.) Because of their logistical and methodological complexities, tests of effectiveness are particularly appropriate for inclusion in PIRC research programs. Similarly, PIRCs are encouraged, where appropriate, to include in their research programs plans for dissemination and/or services research once interventions have demonstrated effectiveness and are ready for adoption by service systems. Centers may direct their efforts to well defined single, multiple, or co-morbid conditions, and test intervention strategies aimed at individuals and/or families, schools, communities, service systems, or other relevant domains. The following are examples of areas within this framework that might serve as a focus for Centers. The list is neither exhaustive, nor exclusive: o Development of prevention trials aimed at changing risk factors and/or mediators associated with mental disorder and pre-clinical behavioral dysfunctions in children, adolescents, and their families. o Methodologic development and experimental testing of promotive interventions, with emphasis on identification and independent assessment of relevant mental health outcomes. o Establishment of prevention trials aimed at risk factors common to a number of disorders and/or maladaptive outcomes. o Generation of ecologically valid prevention trials with multiple intervention components that target risk and protective factors across a number of domains simultaneously. o Development of trials aimed at understanding optimal timing or scope of interventions, or subgroup differences in response to different intervention strategies. o Generation of prevention trials involving embedded universal, selected, and indicated intervention strategies. o Development of multi-component intervention strategies through systematic testing of individual modules which are later tested in combinations. STUDY POPULATIONS SPECIAL INSTRUCTIONS TO APPLICANTS REGARDING IMPLEMENTATION OF NIH POLICIES CONCERNING INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH STUDY POPULATIONS NIH policy is that applicants for NIH clinical research grants and cooperative agreements will be required to include minorities and women in study populations so that research findings can be of benefit to all persons at risk of the disease, disorder or condition under study; special emphasis should be placed on the need for inclusion of minorities and women in studies of diseases, disorders and conditions which disproportionately affect them. This policy is intended to apply to males and females of all ages. If women or minorities are excluded or inadequately represented in clinical research, particularly in proposed population-based studies, a clear compelling rationale should be provided. The composition of the proposed study population must be described in terms of gender and racial/ethnic group. In addition, gender and racial/ethnic issues should be addressed in developing a research design and sample size appropriate for the scientific objectives of the study. This information should be included in the form PHS 398 in Sections 1-4 of the Research Plan AND summarized in Section 5, Human Subjects. Applicants are urged to assess carefully the feasibility of including the broadest possible representation of minority groups. However, NIH recognizes that it may not be feasible or appropriate in all research projects to include representation of the full array of United States racial/ethnic minority populations (i.e., Native Americans (including American Indians or Alaskan Natives), Asian/Pacific Islanders, Blacks, Hispanics). The rationale for studies on single minority population groups should be provided. For the purpose of this policy, clinical research includes human biomedical and behavioral studies of etiology, epidemiology, prevention (and preventive strategies), diagnosis, or treatment of diseases, disorders or conditions, including but not limited to clinical trials. The usual NIH policies concerning research on human subjects also apply. Basic research or clinical studies in which human tissues cannot be identified or linked to individuals are excluded. However, every effort should be made to include human tissues from women and racial/ethnic minorities when it is important to apply the results of the study broadly, and this should be addressed by applicants. For foreign awards, the policy on inclusion of women applies fully; since the definition of minority differs in other countries, the applicant must discuss the relevance of research involving foreign population groups to the United States' populations, including minorities. If the required information is not contained within the application, the application will be returned. Peer reviewers will address specifically whether the research plan in the application conforms to these policies. If the representation of women or minorities in a study design is inadequate to answer the scientific question(s) addressed AND the justification for the selected study population is inadequate, it will be considered a scientific weakness or deficiency in the study design and will be reflected in assigning the priority score to the application. All applications for clinical research submitted to NIH are required to address these policies. NIH funding components will not award grants or cooperative agreements that do not comply with these policies. APPLICATION PROCEDURES It is strongly encouraged that potential applicants contact the Centers program staff very early in the planning process. NIMH staff will offer each potential applicant advice and information regarding program relevance and purpose so that applications will comply with administrative requirements, meet program standards, and contain sufficient information to permit an adequate Center program review. Applications are to be submitted on the grant application form PHS 398 (rev. 9/91) and will be accepted at the standard center application deadlines as indicated in the application kit. The number and title of this Program Announcement, Preventive Intervention Research Centers, PAR-94-038, must be typed in item number 2a on the face page of the PHS 398 application form. PHS regulations concerning application page-length apply to PIRC applications. In general, 25 pages of text are allowed for each core and research component of the Center. A submitted application will be reviewed within the category that it requests (i.e., Developmental or Mature); the IRG will not change categories as part of its review. Applicants should note that the metric system of measurement must be used if weights and measures are involved in the proposed research. Application kits containing the necessary forms and instructions are available at most institutional offices of sponsored research and may be obtained from the Office of Grants Information, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone 301/710-0267. The signed original and five legible copies of the completed application must be sent to: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** REVIEW CONSIDERATIONS Applications will be assigned on the basis of established phs referral guidelines. Applications will be reviewed for scientific and technical merit by study sections of the National Institute of Mental Health, in accordance with the standard NIH peer review procedures. The following criteria will be considered when assessing the merit of a PIRC application: intrinsic merit of the proposed intellectual focus and research agenda, appropriateness of the Center approach, presence of high-quality research investigators from several fields, Center Director qualities, adequacy of research resources and environment, quality and appropriateness of the infrastructure and research career development components of the PIRC's activities, appropriateness of PIRC organization, quality of Center functions, adequacy of plans to achieve community sanction, feasibility and budget, inclusion of women and minorities, adequacy of protection of human and animal subjects. Applicants from institutions that have a General Clinical Research Center (GCRC) funded by the NIH National Center for Research Resources may wish to identify the GCRC as a resource for conducting the proposed work. If so, a letter of agreement from either the GCRC program director or principal investigator could be included with the application. All PIRC applications will be reviewed according to the procedures and criteria outline above. However, for the special case of applications for Developing PIRCs, the above criteria will be modified by the following: the nature and level of resource commitments from the home institution/department and from other participating institutions/departments are of necessity not of the level of the Mature PIRC; the quality of plans to recruit excellent new research faculty, or to further integrate the work of existing investigators around preventive intervention trials; the likelihood that the establishment of a Developing PIRC will facilitate existing research activities and serve as a mechanism to expand the proposed prevention research theme into a fully developed prevention research agenda. Following scientific-technical review, the application will receive a second-level review by the National Mental Health Advisory Council. AWARD CRITERIA Applications received in response to this announcement will compete with others submitted to NIMH for funding. In granting awards, the following criteria are considered: o Program relevance o Quality of application as documented by IRG and Council recommendations o Program balance o Availability of funding o Institute priorities Grants must be administered in accordance with the PHS Grants Policy Statement (rev. October 1, 1990). INQUIRIES Written and telephone inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Doreen Spilton Koretz, Ph.D. Prevention Research Branch Parklawn Building, Room 10-85 5600 Fishers Lane Rockville, MD 20857 Telephone: (301) 443-4283 For further information on grants management issues, applicants may contact: Diana Trunnell Grants Management Branch National Institute of Mental Health 5600 Fishers Lane, Room 7C-15 Rockville, MD 20857 Telephone: (301) 443-3065 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance 93.242, Mental Health Research Grants. Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR 52 and 45 CFR Part 74. This announcement is not subject to the intergovernmental review requirements of Executive Order 12372, as implemented through DHHS regulations at 45 CFR Part 100, or Health Systems Agency Review. .
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