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Full Text PAR-94-063


NIH GUIDE, Volume 23, Number 16, April 29, 1994

PA NUMBER:  PAR-94-063

P.T. 34


National Institute of Mental Health

Application Receipt Dates:  August 10, 1994, December 13, 1994, and
April 11, 1995


The purpose of this program announcement (PA) is to stimulate and
encourage doctoral candidates to carry out dissertation research in
Child and Adolescent Developmental Psychopathology; HIV/AIDS
Research; or Mental Health Services Research.  These selected areas
of emphasis are of critical importance to the National Institute of
Mental Health (NIMH).

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 intent of these dissertation research grants is to assist in
providing a positive and constructive research experience that will
motivate a small but critical mass of candidates to make a commitment
to research careers in one of the three areas covered in this PA.

The increased support for investigators in developmental
psychopathology and in mental health services research at this early
juncture in their research careers is a natural consequence of
recommendations in the NIMH National Plan for Research on Child and
Adolescent Mental Disorders and the NIMH National Plan to Improve
Services Research.  The encouragement of developing investigators in
HIV/AIDS research represents yet an additional effort to improve the
quality of research and increase the number of researchers in this
priority area.


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, Dissertation Research Grants in:  Child and Adolescent
Developmental Psychopathology; HIV/AIDS Research; and Mental Health
Services Research, 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.  The applicant must
be conducting or intending to conduct research in one of the three
areas specified in this program announcement.

Minority and women doctoral candidates and candidates with
disabilities are especially encouraged to apply for these grants.

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
applicant must be domestic.  Applications may be submitted by any
public or private nonprofit 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 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 30 Dissertation
Research Grants in the three research areas covered in this program
announcement, with a total program cost of $810,000 per year,
including indirect costs.


The general objectives for the three designated areas include, but
are not limited to, the examples listed below.  Additional detail is
provided under INQUIRIES.

1.  Research in Child and Adolescent Developmental Psychopathology
holds enormous promise for enabling investigators to understand the
origin and course of child and adolescent psychopathology, of
temporal and relational factors affecting vulnerability and
resilience, and of preventive, treatment, and service strategies to
address the mental health problems of children, adolescents, and
their families.  Candidates applying under this rubric must use a
developmental approach to the understanding of psychopathology in
examples such as those provided below.

o  Studies that address any of the following factors in developmental
processes relevant to various risk or psychopathological conditions:

1.  genetic, ontogenetic, biochemical
2.  cognitive, emotional, personality, family
3.  economic, sociocultural, environmental

o  Studies that address the processes underlying adaptive and
maladaptive outcomes in populations at risk for psychopathology

o  Studies that address the implications of developmental processes
for effective interventions with children and adolescents.

2.  The HIV/AIDS Research program of the NIMH supports studies to
better understand, assess, and treat the behavioral, psychosocial,
and neuropsychiatric aspects of HIV infection and AIDS.  In the
neurosciences, the program includes elucidation of how HIV infection
produces specific neuropsychiatric syndromes, the natural history of
these syndromes, their impact upon cognitive function and
performance, and the development of treatment for HIV central nervous
system (CNS) disease.  In the behavioral and psychosocial arena,
program emphases include identification of determinants of high-risk
sexual and drug-using behaviors; determinants of maintaining low-risk
behaviors, especially for hard-to-reach and special populations; the
social contexts in which risk-taking behaviors occur; the impact of
HIV and AIDS on the person, caregivers, families, and significant
others; and the development of more accurate methods to assess and
treat HIV-related mental disorders and to improve access to mental
health services and delivery of those services to persons affected by

Within these broad parameters, HIV/AIDS research priorities include:

o  The development of behavior change and prevention strategies to
reduce the further spread of the epidemic

o  Brain, immune system, and neural aspects of HIV infection

o  Measurement, course, and treatment of HIV-related mental disorders
such as neural complications of opportunistic infections and HIV-
related malignancies

o  Children and/or parents with HIV infection and AIDS

o  Severely mentally ill at risk of or with HIV infection

o  Health care services for persons with HIV infection.

3.  Mental Health Services Research examines the availability,
quality, cost, structure, and effectiveness of mental health and
related services, programs, organizations, and systems; supply and
use of mental health services; need and access to services; help-
seeking and self-help behavior; disability assessment and
rehabilitation services; effects of changes in the health care/
mental health care system; impacts of legislation and regulations on
the provision of health care; and effectiveness and outcomes of
service delivery systems.  The scope of the program includes mental
health services for children, adolescents, adults, and the elderly.

For purposes of the Dissertation Research Grants in Mental Health
Services Research, six areas of research emphasis have been

o  Services for persons with severe mental illness and persons with
co-occurring mental and substance abuse disorders.

o  Economics and financing of services

o  Mental disorders in general health care settings

o  Services provided to children and adolescents

o  Mental health services provided to special populations

o  Research methods.



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.


The application is to be submitted on form PHS 398 (REV 9/91), which
is 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.  Under item 2a of
the face page of the application the number of this program
announcement "PAR-94-XXX" and one of the following titles must
appear:  "NIMH Dissertation Research Grant in:  (select one)
Developmental Psychopathology; HIV/AIDS Research; Services Research."

The narrative portion of the application, which 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 should 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 for
support beyond the first 12 months.  An extension may be awarded if
satisfactory progress is being made, but no supplemental NIMH funds
are available.

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 requests more than
$25,000 will be returned to the applicant.  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.

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; and (d) certify that the institution's
facilities and general environment are adequate to conduct the
proposed research.

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 one of the
three specific areas of research designated in this program
announcement 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.

Receipt Dates

Applications must be submitted for the receipt dates of August 10,
1994, December 13, 1994, and April 11, 1995.  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.

Copies Required

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**

The RFA label available in the PHS 398 (rev. 9/91) application form
must be affixed to the bottom of the face page of the application.
Failure to use this label could result in delayed processing of the
application such that it may not reach the review committee in time
for review.  In addition, the PA title and number must be typed on
line 2a of the face page of the application form and the YES box must
be marked.

Special Instructions

Applications for dissertation research grants must follow the
instructions contained in the form PHS 398, "Application for PHS
Grant," except as noted in this program announcement and these
special instructions.

I.  General

a.  Applications are accepted on August 10, December 13, and April
11.  It is the intent to announce the funding decision 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 attached to this announcement.  The applicant should
provide the names of the dissertation committee and their university

II.  Specific Instructions - Face Page

Item Number

2a.  Response to Specific Program Announcement:  Check "YES" and
enter "PAR-94-063" for the number of the program announcement.  In
the space marked "Title," enter "NIMH Dissertation Research Grant in"
(select one of the three designated areas to complete the title:
"Developmental Psychopathology"; "HIV/AIDS Research"; or "Services

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

10.  Inventions:  Enter N.A.

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

III.  Specific Instructions - Detailed Budget for Initial Budget

Follow the Instruction Sheet for PHS-398, pages 16 through 19.  See
"Allowable Costs" above.

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 child and/or adolescent
developmental psychopathology, HIV/AIDS research, or mental health
services research

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 for the


Dissertation research grants are competitive.  These applications
will be reviewed initially by non-Federal experts, convened by the
NIH, 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 project 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 child and/or adolescent developmental
psychopathology, HIV/AIDS research, or mental health services
research.  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
submission date.

Review Criteria

Review criteria include significance of problem; scientific quality
of the application; relationship of proposed research to expanding
the knowledge base in child and/or adolescent developmental
psychopathology, HIV/AIDS research, or mental health services
research; 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
child/adolescent developmental psychopathology, HIV/AIDS research, or
mental health services research.

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 application reflects an excellent grasp of scientific
principles and adequate knowledge of other research related to the

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 application 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 application adequately plans to include female children/
adolescents, women, and minorities as subjects in research, if

o  The application 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 application.

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 developmental
psychopathology, HIV/AIDS, or mental health services, 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 signed 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 direct costs.
Direct research project costs and/or salary not spent in the first
year of the award can be used in the second year, if an extension is
approved, but the candidate's salary may not exceed $14,000 per year.

Terms and Conditions of Award

o  Work on the funded project must be initiated within three 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.

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.


Potential applicants for Dissertation Research Grants are strongly
advised to contact NIMH staff regarding current program priorities
before applying for a grant.

Child and/or Adolescent Psychopathology

Dissertation research applications in developmental psychopathology
must involve a developmental approach to the evolution of mental
disorders and the implications of childhood and adolescent
development for treatment, services, prevention, and other

Persons applying for Dissertation Research Grants in Child/
Adolescent Developmental Psychopathology may address their inquiries
to the NIMH staff indicated below.  Applicants in this research area
are also directed to the Attachment to this program announcement for
additional information regarding the research programs of the NIMH.

Inquiries regarding basic research dealing with genetic, ontogenetic,
biochemical, cognitive, emotional, personality, family,
sociocultural, or economic factors in developmental processes
relevant to various risk conditions or psychological dysfunction,
studied in normative (i.e., nonclinical) human populations or in
animal populations or processes promoting adaptive outcomes under
conditions of stress or apparent risk for psychopathology may be
directed to:

Lynne Huffman, M.D.
Room 11C-10
Telephone:  (301) 443-3942
FAX:  (301) 443-4822

Inquiries regarding research dealing with clinical aspects of
genetic, ontogenetic, biochemical, cognitive, emotional, or
personality factors in developmental processes relevant to
psychopathology; those processes underlying maladaptive outcomes in
populations at risk for psychopathology or with developmental
approaches to the etiology, assessment, course, treatment, or
rehabilitation of clinically diagnosed children or adolescents such
as those with autism, pervasive developmental disorder, conduct
disorder, attention deficit disorder, affective and anxiety
disorders, obsessive compulsive disorder, eating disorders, etc., may
be directed to:

Rebecca Del Carmen, Ph.D.
Room 18C-17
Telephone:  (301) 443-5944
FAX:  (301) 443-6000

Inquiries regarding research dealing with identification of
biological, psychological, and social risk and protective factors for
psychopathology in defined populations; causal pathways for
psychopathologic (e.g., mental disorders, maladaptive behaviors) and
for nonpsychopathologic outcomes in populations identified as being
at high risk; preventive interventions that alter the course of the
development of psychopathology in children or adolescents; the
effects of abuse or violence on development processes related to
psychopathology; the impact of physical disease upon the development
of psychopathology; or the implications of developmental epidemiology
for mental health services should be directed to:

Karen H. Bourdon, M.A.
Room 10C-09
Telephone:  (301) 443-3774
FAX:  (301) 443-4045

HIV/AIDS Research

Additional information about the NIMH Office of AIDS programs is
provided in the Attachment to this announcement.  Information
regarding Dissertation Research Grants in HIV/AIDS research may be
obtained from:

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

Mental Health Services Research

General information regarding the NIMH Mental Health Services
Research Program may be obtained from:

Thomas Lalley, Chief
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Additional information regarding the six areas of research emphasis
in Mental Health Services Research may be obtained by contacting the
persons named below.

Services for Persons with Severe Mental Illness and Persons with Co-
occurring Mental and Substance Abuse Disorders:

Ann Hohmann, Ph.D., M.P.H.
Kathryn Magruder, Ph.D., M.P.H.
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Economics and Financing of Services:

Agnes Rupp, Ph.D.
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Mental Disorders in General Health Care Settings:

Kathryn Magruder, Ph.D., M.P.H.
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Services Provided to Children and Adolescents:

Kimberly Hoagwood, Ph.D.
Room 10C-06
Telephone:  (301) 443-4233
FAX:  (301) 443-4045

Mental Health Services Provided to Special Populations:

Ann Hohmann, Ph.D., M.P.H.
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Research Methods:

Ann Hohmann, Ph.D., M.P.H.
Room 10C-06
Telephone:  (301) 443-3364
FAX:  (301) 443-4045

Inquiries related to fiscal matters or grants management issues on
any Dissertation Research Grant may be directed to:

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

The street address for all contact persons 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 Service 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.  The requirements of Executive
Order 12372, "Intergovernmental Review of Federal Programs," are not
applicable to NIMH research grant programs.


To Whom It May Concern:

This letter is in reference to the Dissertation Grant application
submitted to the NIMH by (Name) for the (Date) 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 is a citizen or noncitizen national of the
United States, or holds a permanent residence visa.



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