NIH Guide, Volume 26, Number 38, November 21, 1997

PA NUMBER:  PAR-98-010


National Institute on Deafness and Other Communication Disorders

Application Receipt Date:  December 23, 1997; April 23, and August 21, 1998


This program announcement (PA) supersedes all previous announcements of the
National Institute on Deafness and Other Communication Disorders (NIDCD) Small
Grant (R03) Program for support of pilot research that is likely to lead to a
subsequent individual research project grant (R01) or a First Independent
Research Support and Transition (FIRST) (R29) award application. The research
must be focused on one or more of the areas within the biomedical and behavioral
scientific mission of the NIDCD: hearing, balance, smell, taste, voice, speech,
or language.


The 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 PA, Small Grant Program for the NIDCD,
is related to the priority area of clinical prevention services.  Potential
applicants may obtain a copy of "Healthy People 2000" (Full Report:  Stock No.
017-001-11474-0 or Summary Report:  Stock No. 017-001-11473-1) through the
Superintendent of Documents, Government Printing Office, Washington, DC
20402-9325 (telephone 202-512-1800).


Applications may be submitted by domestic for-profit and non-profit
organizations, public and private, such as universities, colleges, hospitals,
laboratories, units of state and local governments, and eligible agencies of the
Federal government.  Racial/ethnic minority individuals, women, and persons with
disabilities are encouraged to apply.  Foreign institutions are not eligible to
apply for this program.

Current and previous recipients of NIH research grants such as research project
grants (R01), FIRST (R29), or NIH Academic Research Enhancement Awards (R15)
awards are ineligible for this Small Grant Program, as are investigators who have
served as project or subproject directors of research program projects (P01) and
Centers (P50 and P60).  Current and previous recipients of Small Grants (R03)
(excluding Minority Dissertation Small Grant Awards) Exploratory/Development High
Impact Research Grants (R21), and Shannon Award (R55), are ineligible. 
Individuals who have served as principal investigators on other Federally funded
research grants are also ineligible.

In the event of the award of an R03, investigators will be encouraged to seek
continuing support before completion of the award, through a Research Project
Grant (R01) or FIRST (R29) award. However, R01 or R29 support may not be held
concurrently with an R03 until the final year of the R03 support.  Guidelines
addressing scientific and budgetary overlap still apply.

Former recipients of Mentored Research Scientists Development Awards (K01), or
Mentored Clinical Scientist Development Awards (K08) (formerly called Clinical
Investigator Development Awards) are eligible for this Small Grant Program;
however, an individual may not hold an R03 award concurrently with a K01 or K08
award.  Former recipients of Individual (F32) or Institutional (T32) National
Research Service Award training support are eligible for this Small Grant
Program; however, the Small Grant award cannot be held concurrently with this

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


This PA will use the small grant (R03) mechanism.  The small grant funds may not
be used to supplement projects currently supported by Federal or non-Federal
funds, or to support thesis or dissertation research.  Applicants may request up
to $35,000 (direct costs) per year through the R03 mechanism.  Any
consortium/contractual cost that may be requested must not exceed the direct cost
limits.  The grant may not exceed three years and is not renewable.


The Small Grant Program is designed to support basic and clinical research of
scientists who are in the early stages of establishing an independent research


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 are provided 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 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 28, 1994
(FR 59 14508-14513) and the NIH Guide for Grants and Contracts, Vol. 23, No. 11,
March 18, 1994. Investigators also may obtain copies of the policy from the
program staff listed under INQUIRIES.  Program staff may also provide additional
relevant information concerning the policy.


Applications are to be submitted on the grant application form PHS 398 (rev.
5/95) and prepared according to the directions in the application packet, with
the exceptions noted below. Application kits are available at most institutional
offices of sponsored research and may be obtained from the Division of Extramural
Outreach and Information Resources, National Institutes of Health, 6701 Rockledge
Drive, MSC-7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email

On the face page of the application:  Item 2, Type "Small Grant Program NIDCD"
in "Title" box. Check the "YES" box.  Sections a-d:  Do not exceed a total of
five pages for the following sections:  Specific Aims, Background and
Significance, Preliminary Studies/Progress Report, and Research Design and
Methods.  Tables and figures are included in the five page limitation.  For
revised applications, an additional introduction not to exceed one-half page is
allowed.  This introduction should respond to the comments and concerns of the
Initial Review Group delineated in the summary statement.  Applications that
exceed the page limitation or NIH requirements for type size and margins (refer
to PHS 398 application for details) will be returned to the investigator.  The
five page limitation does not include Sections e-i (Human Subjects, Vertebrate
Animals, Consortia, Literature Cited, etc.). Appendix materials may not be used
to circumvent the page limitations.

Use the mailing label in the application kit to mail the original and three
copies of the application to:

CENTER FOR SCIENTIFIC REVIEW (formerly Division of Research Grants)
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 7710(for express/courier service)

To ensure that the application is received in sufficient time for the review,
send two copies of the application to:

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

The submission, review, and award schedule for the Small Grant Program for FY 98
(these dates likely will differ for FY 99) is:

Application Receipt Dates for FY 98:  Dec 23       Apr 23          Aug 21
NIDCD Committee Review:               Feb/Mar      Jun/Jul         Oct/Nov
Council Review:                       May          Oct             Jan
Earliest Funding:                     Aug          Jan             May

Only one Small Grant application may be submitted by a principal investigator per
receipt date. Applicants may not submit an R01 or R29 application on the same
topic concurrently (to be considered at the same National Advisory Council cycle)
with the submission of a Small Grant application.


Applications that are complete will be reviewed for scientific and technical
merit in accordance with the standard NIH procedures by a review group convened
by the NIDCD.  As part of the initial review, all applications will receive a
written critique; those applications deemed to have the highest merit, generally
the top half of applications under review, will be discussed, assigned a priority
score, and receive a second level of review by the NIDCD Advisory Council.

Review Criteria

The goals of NIH-supported research are to advance our understanding of
biological systems, improve the control of disease, and enhance health.  In the
written review, comments on the following aspects of the application will be made
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 the assignment of the overall score.

(1) Significance

Does this study address an important problem?  If the aims of the application are
achieved, how will scientific knowledge be advanced? What will be the effect of
these studies on the concepts or methods that drive this field?

(2) Approach

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

(3) Innovation

Does the project employ novel concepts, approaches or method?  Are the aims
original and innovative?  Does the project challenge existing paradigms or
develop new methodologies or technologies?

(4) Investigator

Is the investigator appropriately trained and well suited to carry out this work? 
Is the work proposed appropriate to the experience level of the principal
investigator and other researchers (if any)?

(5) Environment

Does the scientific environment in which the work will be done contribute to the
probability of success?  Do the proposed experiments take advantage of unique
features of the scientific environment or employ useful collaborative
arrangements?  Is there evidence of institutional support?

In addition, the adequacy of plans to include both genders and minorities and
their subgroups as appropriate for the scientific goals of the research will be
reviewed.  Plans for the recruitment and retention of subjects will also be

The initial review group will also examine the provisions for the protection of
human and animal subjects, the safety of the research environment, and
conformance with the NIH Guidelines for the Inclusion of Women and Minorities as
Subjects in Clinical Research.

Applications will be subsequently reviewed by the National Deafness and Other
Communication Disorders Advisory Council.


The award of grants is contingent on (1) the receipt of applications of high
scientific merit; (2) responsiveness to this program announcement, including the
eligibility of investigators; (3) relevance to the mission of the NIDCD; and (4)
the availability of appropriated funds.


Inquiries are encouraged.  The opportunity to clarify any issues or questions
from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

Dr. Chyren Hunter
Telephone:  (301) 402-3461
Email:  Chyren_Hunter@NIH.GOV

Dr. Daniel Sklare
Telephone:  (301) 496-1804
Email:  Daniel_Sklare@NIH.GOV

Dr. Jack Pearl
Telephone:  (301) 402-3464
Email:  Jack_Pearl@NIH.GOV

Dr. Rochelle Small
Telephone:  (301) 402-3464
Email:  Rochelle_Small@NIH.GOV

Dr. Beth Ansel
Telephone:  (301) 402-3461
Email:  Beth_Ansel@NIH.GOV

Dr. Judith Cooper
Telephone:  (301) 496-5061
Email:  Judith_Cooper@NIH.GOV

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

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

Direct inquiries regarding fiscal matters to:

Sharon Hunt
Grants Management Office
National Institute on Deafness and Other Communication Disorders
6120 Executive Boulevard, Room 400-B, MSC-7180
Bethesda, MD  20892-7180
Telephone:  (301) 402-0909
Fax:  (301) 402-1758


This program is described in the Catalog of Federal Domestic Assistance No.
93.173.  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 program is not subject to the intergovernmental
review requirements of Executive Order 12372 or Health Systems Agency review.

The PHS strongly encourages all grant and contract recipients to provide a smoke-
free workplace and promote the non-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.

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