Full Text PAR-94-053


NIH GUIDE, Volume 23, Number 14, April 8, 1994

PA NUMBER:  PAR-94-053



National Institute of Mental Health


The purpose of this program announcement is to stimulate and
encourage minority doctoral candidates to pursue research careers in
any area relevant to mental health and/or mental disorders.

A dissertation represents the most extensive research experience
formulated and carried out by doctoral candidates, with the advice
and guidance of mentors.  Dissertation research involves a major
investment of the doctoral student's time, energy, and interest and
its substance is often the basis for launching a research career.
The usual mechanisms used for the support of doctoral dissertation
research have not attracted significant numbers of minority students.
The intent of the dissertation research grants is to attract larger
numbers of minority students as mental health investigators and to
assist in providing a positive and constructive research experience
that will stimulate them to pursue research careers in this field.


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.  This program
announcement, Minority Dissertation Research Grants in Mental Health,
is related to the priority area of mental health 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).


The applicant investigator applying for a dissertation research grant
must be enrolled in an accredited doctoral degree program in the
behavioral, biomedical, or social sciences and must have approval of
the dissertation proposal by a named committee.  A student applying
for a Minority Dissertation Research Grant in Mental Health must be
an individual from a minority group who is conducting or intends to
conduct dissertation research on any problem related to mental health
or mental disorder.  Research topics should fit within one or more of
the areas described in the Attachment to this program announcement,
which is available from program staff listed under INQUIRIES.
Minority groups qualifying for support under this program
announcement include African Americans, Hispanic Americans, American
Indians, Alaskan Natives, and Asian and Pacific Islanders.

The applicant must be a registered doctoral candidate in resident or
nonresident status.  All requirements for the doctoral degree other
than the dissertation (and for students requiring it, the clinical
internship) must be completed by the time of the award. This
information, and the approval of the dissertation topic by a named
committee, must be verified in a letter of certification from the
thesis chairperson and submitted with the grant application (see

The applicant institution administering the grant on behalf of the
proposed applicant must be domestic.  Applications may be submitted
by any public or private non-profit university, college, or
professional school.  The doctoral candidate must be a citizen or
noncitizen national of the United States or hold a permanent
residence visa.  Academic institutions are encouraged to facilitate
application from qualified doctoral candidates.


The mechanism of support is the National Institutes of Health (NIH)
small grant (R03).  Grants to support dissertation research will
provide no more than $25,000 per year in direct costs.  Awards will
depend on the availability of funds.


Availability of funds is determined by annual congressional
appropriations.  The NIMH anticipates funding up to 25 minority
dissertation research grants with a total program cost of $675,000
per year, including indirect costs.


The application is to be submitted on the grant application form PHS
398 (rev. 9/91), available from university offices of sponsored
research and 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 special
instructions described below and in the application kit must be
followed.  "PAR-94-053, Minority Dissertation Research Grants in
Mental Health" must appear under item 2a of the face page.

The narrative portion of the application that describes the research
plan of the dissertation (see pp. 20-22 of form PHS 398, items 1-4)
may not exceed 10 pages of text in standard-size type.  This does not
include material on human subjects, vertebrate animals,
consultants/collaborators, consortium/contractual arrangements, or
literature cited.  The information in the required narrative project
description must be presented in a form suitable for detailed
scientific and technical review. Applications exceeding the 10-page
length for the research plan will be returned without review.

Scope of Awards

Applicant investigators may request support for the amount of time
necessary to complete the dissertation.  A dissertation research
grant usually is awarded for a period of 12 months, but may be
extended without additional funds for up to 24 months.  Investigators
who need additional time to complete the research project will be
required to submit a request for an extension of the grant beyond the
first 12 months.  An extension may be awarded if satisfactory
progress is being made, but no supplemental NIMH funds will be

Allowable Costs

Expenses usually allowed under PHS research grants will be covered by
the NIMH dissertation research grant but may not exceed $25,000 in
direct costs for the project.  An application that exceeds this
amount will be returned.  Allowable costs include the investigator's
salary (not to exceed $14,000 for 12 months full-time effort) and
direct research project expenses such as data processing, payments to
subjects, supplies, and dissertation costs (e.g., printing and
binding of the dissertation).  Travel funds up to $750 may be
requested to attend one scientific meeting; additional travel costs
in connection with research at a remote performance site must be
fully justified.  No tuition, alterations/renovations, contracting
costs, or space rental are allowed on dissertation research grants.
Small equipment items may be requested if special justification is
provided for them.  Indirect costs are limited to eight percent of
requested direct costs, less equipment.

Level of Effort

Any level of effort that is less than full time (40 hours per week)
must be fully justified, and the investigator's salary must be
prorated accordingly.

Human Subjects/Vertebrate Animals

If human subjects and/or vertebrate animals will be involved in the
research, evidence of the required institutional review must be given
on the face page of the application.  Furthermore, the instructions
on pp. 22-23 of the application kit must be followed.



It is the policy of the NIH that women and members of minority groups
and their subpopulations must be included in all NIH supported
biomedical and behavioral research projects involving human subjects,
unless a clear and compelling rationale and justification is provided
that inclusion is inappropriate with respect to the health of the
subjects or the purpose of the research.  This new policy results
from the NIH Revitalization Act of 1993 (Section 492B of Public Law
103-43) and supersedes and strengthens the previous policies
(Concerning the Inclusion of Women in Study Populations, and
Concerning the Inclusion of Minorities in Study Populations) which
have been in effect since 1990.  The new policy contains some new
provisions that are substantially different from the 1990 policies.

All investigators proposing research involving human subjects should
read the "NIH Guidelines For Inclusion of Women and Minorities as
Subjects in Clinical Research", which have been published in the
Federal Register of March 9, 1994 (FR 59 11146- 11151), and reprinted
in the NIH GUIDE FOR GRANTS AND CONTRACTS of March 18, 1994, Volume
23, Number 11.

Concurrent Support

An applicant who receives support for dissertation research under a
grant from the NIMH may not at the same time receive support under a
predoctoral training grant or fellowship grant awarded by any Federal
agency, nor be supported under any other research project grant.

Letter of Certification

A letter from the faculty committee or university official directly
responsible for supervising the development and progress of the
dissertation research must be submitted with the application.  The
letter must (a) fully identify the members of the dissertation
committee and certify their approval of the dissertation proposal;
(b) certify that all requirements for the doctoral degree, except the
dissertation and, if necessary, the clinical internship, are
completed or will be completed by the time the grant award starts;
(c) note that the university official or faculty committee expects
the doctoral candidate to proceed with the approved project proposal
with or without NIMH support; (d) certify that the institution's
facilities and general environment are adequate to conduct the
proposed research; and (e) indicate the minority group of the
doctoral candidate to establish the eligibility of the applicant for
support under this program.

Additional Material

A transcript of the applicant's graduate school record should be
included with the application.  The Biographical Sketch Section of
the Form PHS 398 (Form Page 6) must contain a scientific
autobiography.  Applicants must provide a statement of career goals,
including reference to their interest in the specific area of mental
health/mental disorders research, and a description of their intended
career trajectory.  The mentor's biographical data should not exceed
two pages.  The mentor should also include material on other support
(Form Page 7) indicating active research support.

Applications must be submitted for the receipt dates of April 11,
August 10, or December 13.  Applications received late will be
returned to the applicant.

An application that does not conform to the instructions, including
the special instructions provided below, will be returned.

The applicant must submit the original and five copies of the
completed application, which includes a detailed narrative project
description (not to exceed 10 pages) and letter of certification
(also an original and five copies) to:

Division of Research Grants
National Institutes of Health
Westwood Building, Room 240
Bethesda, MD  20892**

Minority Dissertation Research Grant Additional Instructions

Applications for dissertation research grants must follow the
instructions contained in the application for PHS grant form PHS 398
(rev. 9/91), except as noted in this program announcement and in
these special instructions.

I.  General

a.  Applications will be accepted on April 11, August 10, or December
13.  It is the intent to announce funding decisions to the applicant
no more than four months after the deadline.

b.  A letter of certification from the faculty committee or
university official directly responsible for supervising the
development and progress of the dissertation research must be
submitted with the application.  An example of the letter of
certification is shown at the end of this program announcement.  The
applicant should provide the names of the dissertation committee and
their university affiliations.

c.  Applications found ineligible for consideration under the
Dissertation Research Grant program will be returned to the

II.  Specific Instructions - Face Page

Item Number

2a.  Response to Specific Program Announcement:  Check "YES" and
enter  "PAR 94-053  Minority Dissertation Research Grants in Mental

2b.  Type of Grant Program:  Enter "R03".

3a.  Principal Investigator:  Designate by name the doctoral
candidate who is to be directly involved in carrying out the proposed
research.  The doctoral candidate must be listed as principal

3d.  Position Title:  Enter "Doctoral Candidate."

3f.  Department, Service Laboratory or Equivalent: Enter the name of
the department or program in which the principal investigator is a
candidate for a doctoral degree.

6.  Dates of Entire Proposed Project Period:  Most applicants are
expected to propose a total project period of 12 months for the
research project and its support.  A grant may be extended without
additional funds if more than a year is required, but the entire
project period of the grant must not exceed 24 months.  If an
extension beyond 12 months is desired, the principal investigator
must submit a report of progress no later than 10 months after the
effective date of the award.  An extension of the grant, without
additional funds, may be provided if there is evidence of acceptable

9.  Performance Sites:  Indicate where project will be conducted. If
more than one performance site, list all of them.

10.  Inventions: Enter N.A.

11-16.  Follow the instruction sheet for PHS-398.

17.  Principal Investigator/Program Director Assurance:  The
applicant must sign here.

18.  Certification and Acceptance: The official signing for the
applicant organization must sign here.

III.  Specific Instructions - Detailed Budget for Initial Budget

Follow the Instruction Sheet for PHS-398, pages 16 through 19.
Allowable costs include the candidate's salary, not to exceed $14,000
for 12 months full-time effort; direct research project expenses,
such as data processing, supplies, payments to subjects, and
dissertation costs (e.g., printing and binding). Travel to one
scientific meeting (requesting up to $750) is allowable; additional
travel costs in connection with research at a remote performance site
must be fully justified.  This research may not be supported at the
same time under any other research grant.  Any level of effort less
than full time for the candidate must be fully justified and the
candidate's salary prorated accordingly.  Permanent equipment,
tuition, alterations/ renovations, contracting costs, and space
rental are not allowed on dissertation research grants.  Small
equipment items require special justification.  The applicant must
provide detailed justification for each budget item requested.

IV.  Specific Instructions - Research Plan

The principal investigator must provide a narrative project
description that contains a detailed scientific and technical
discussion of the following specific points.  This must not exceed 10
pages (Item "E" addressing human subjects and Item "F" regarding
vertebrate animals must be filled out if human subjects and/or
vertebrate animals are to be involved.)  Address the following points
rather than those shown in the PHS-398 instructions:

a.  A description of the research project and what it is intended to
accomplish; the relevance of the project to mental health/mental

b.  A summary of related published research that addresses the
identified problem(s)

c.  The questions to be answered or the hypotheses to be tested by
the project

d.  The methodological procedures to be followed and, whenever
applicable, information on such matters as sampling procedures,
including the size and composition of the population to be studied
and the size and composition of the sample and control groups, as
well as a description of the types and sources of data to be
gathered, methodological problems to be encountered, specific
statistical analyses to be made, and steps that will be taken to
protect human subjects or research animals as appropriate

e.  The management of the project, including a schedule of the main
steps of the proposed investigation

f.  The facilities and resources that will be available in the


Dissertation research grants are competitive.  These applications
will be reviewed initially by non-Federal experts, and a second level
of review will be conducted by senior NIMH staff members.  Reviewers
will be selected on the basis of their knowledge and accomplishments
in research pertinent to the applications and their experience in
research training and career development.  An abbreviated summary
statement will be provided for applications not recommended for
further consideration.  All elements of the application will be
considered in the review process.  Reviewers will take into account
the applicant's stage of development and the importance of the
dissertation as a learning experience that is part of the applicant's
graduate education.  Emphasis will be given to the scientific merit,
feasibility, and relevance of the project to the mental health/mental
disorders areas specified in the attachment to this announcement.
The qualifications of the candidate will also be emphasized in the
review.  It is the intent to provide review results and announce
funding decisions within four months after the receipt date.  Review
criteria, funding decisions, and continuation of support are
described below.

Review Criteria

Review criteria include significance of problem; scientific quality
of the proposal; relationship of proposed research to expanding the
knowledge base in mental health areas mentioned in the Attachment to
this program announcement (available from program listed under
INQUIRIES); research design and research methods; personal
qualifications of the candidate; supervision of the candidate;
institutional facilities and support structure; and appropriateness
of budget.

Problem Significance

o  The project is focused primarily on a significant problem in
mental health/mental disorders.

o  The potential generalizability, heuristic value, or usefulness of
the results is considered.

Research Design and Methods

o  The problem to be addressed by the research is clearly defined.

o  The proposal reflects an excellent grasp of scientific principles
and adequate knowledge of other research related to the problem.

o  Questions to be answered or hypotheses to be tested are well
formulated and clearly stated.

o  Research methodology is fully described including, where
applicable, explanation of scientifically appropriate sampling
procedures, description of control and experimental groups,
description of types and sources of data to be gathered, discussion
of methodological problems expected to be encountered, and
description of specific analyses to be performed.

o  The proposal adequately describes the plans for managing the
project, including a tentative schedule for the main steps of the
investigation within the project period requested.

o  The proposal adequately plans to include women and minorities as
subjects in research, if applicable.

o  The proposal adequately plans for the protection of human subjects
and/or care of animals, if applicable.

Qualifications of the Applicant and Support Structure

o  The applicant shows promise as a research investigator in areas
relevant to the proposal.

o  The experience and training of the applicant are sufficient to
carry out the research.

o  The proposed research project is consistent with the long-term
research interests of the applicant.

o  Faculty advice, support, and necessary supervision are available
and suitable.

o  The available facilities and organizational arrangements are
appropriate to the research.


o  The allocation of time and money reflects an understanding of the
research tasks to be accomplished and of the problems likely to


Final funding decisions are based on the recommendations of the
reviewers, the relevance of the project to NIMH program support
areas, program balance, and the availability of appropriated funds.

Continuation of Support Without Additional Funds

Awardees who have been funded for 12 months of a project requiring up
to 24 months must submit a progress report 10 months after the award
begins accompanied by a letter singed by the principal investigator,
the mentor, and an institutional business official requesting an
extension of the grant beyond 12 months without additional funds.
The total amount awarded cannot exceed $25,000 in total direct costs.
Direct research project costs and/or salary not spent in the first
year of the award can be used during the second year, if an extension
is approved, but the candidate's salary may not exceed $14,000 per

Grant Terms and Conditions

o  Work on the funded project must be initiated within 3 months after
the date of the award.

o  The NIMH Grants Management Branch must be informed if there is a
change of mentor.  A biographical sketch and material on the new
mentor's research support should be provided.

o  Dissertation Research Grants are not transferable to another
applicant institution.

o  The dissertation constitutes the final report of the grant.  As a
part of the closeout process, two copies of the dissertation must be
submitted to the NIMH within 90 days of the termination of the grant.
The dissertation must be officially accepted by the faculty committee
or university official responsible for the candidate's dissertation,
and it must be signed by the responsible official.

o  Awards will be administered in accordance with the Public Health
Service Policy Statement (Rev. October 1, 1990).


Potential applicants are strongly encouraged to contact NIMH staff
regarding current program priorities before applying for a grant.
Persons applying for a Minority Dissertation Research Grant
should request and carefully read the Attachment to this program
describing the programs in the three research divisions of NIMH
and in the NIMH Office of AIDS.

Inquiries may be directed to the program office relevant to your
dissertation research topic:

Stanley F. Schneider, Ph.D.
Division of Neuroscience and Behavioral Science
Room 11-103
Telephone:  (301) 443-4347
FAX:  (301) 443-4822

Harry E. Gwirtsman, M.D.
Division of Clinical and Treatment Research
Room 18C-26
Telephone:  (301) 443-3264
FAX:  (301) 443-6000

Kenneth Lutterman, Ph.D.
Division of Epidemiology and Services Research
Room 10-95
Telephone:  (301) 443-3373
FAX:  (301) 443-4045

Leonard Mitnick, Ph.D.
Office of AIDS
Room 10-75
Telephone:  (301) 443-6100
FAX:  (301) 443-9719

Inquiries related to fiscal matters or grants management issues may
be directed to:

Diana S. Trunnell
Grants Management Branch
Room 7C-08
Telephone:  (301) 443-3065

The street address for the program staff listed above is:

National Institute of Mental Health
5600 Fishers Lane
Rockville, MD  20857


This program is described in the Catalog of Federal Domestic
Assistance No. 93.242.  Awards are made under the authorization of
the Public Health Services Act, Title IV, Part A, Public Law 78-410,
as amended, and administered under PHS grants policies and
regulations 42 CFR 52 and 45 CFR 74.  Under the authority of Section
301 of the Public Health Service Act, P.L. 78-410, as amended, and
subject to the availability of funds, the National Institute of
Mental Health (NIMH) will accept applications under the receipt dates
listed herein.  Titles 45 CFR 52 and 45 CFR 74 are applicable to
these awards.

The Public Health Service (PHS) strongly encourages all grant
recipients to provide a smoke-free workplace and promote the non-use
of all tobacco products.  This is consistent with the PHS mission to
protect and advance the physical and mental health of the American


To Whom It May Concern:

This letter is in reference to the Minority Dissertation Research
Grant application submitted to NIMH by
------------------------------------------------------ for the
---------------------------- deadline.  As the University official
responsible for supervising the subject dissertation research, I and
the University certify the following:

a)  The members of the applicant's dissertation committee are

b)  The project proposal has been approved by the applicant's faculty
advisory committee (or approval is imminent and will occur before any
possible NIMH funding; no significant changes in the proposed project
are anticipated upon arrival).

c)  All requirements for the doctoral degree except the dissertation
(and, where required, the clinical internship) are completed or will
have been completed by the doctoral candidate before the time of the
grant award.

d)  I, the faculty advisory committee, and the University expect the
doctoral candidate to proceed with the approved project proposal with
or without NIMH support.

e)  The facilities and general environment of the institution are
adequate to conduct the proposed research.

f)  The doctoral candidate, a member of the minority group, is
eligible for support under this program as defined under the
eligibility requirements of this announcement.

g)  The doctoral candidate is a citizen or noncitizen national of the
United States, or holds a permanent residence visa.



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