COLLABORATIVE R01s FOR CLINICAL STUDIES OF MENTAL DISORDERS NIH GUIDE, Volume 26, Number 40, December 19, 1997 PA NUMBER: PAR-98-017 (see Update PA-01-123) P.T. National Institute of Mental Health PURPOSE The National Institute of Mental Health (NIMH) invites applications for collaborative research efforts on Clinical Studies of Mental Disorders (CSMD) including schizophrenia, mood disorders, anxiety disorders, and other severe mental illnesses (see Research Topics below). This program announcement provides guidelines for the conceptualization, preparation, review, and administration of collaborative CSMD applications submitted to the NIMH. Collaborative CSMD grants support research on a highly related topic at two or more sites. The work may involve either identical protocols at multiple sites, or the sites may have different roles in investigating a common topic (see examples below). The purpose of collaborative CSMD is to facilitate research that requires integration/interaction among organizationally distinct entities. It ensures that there will be a Principal Investigator (PI) at each site, as well as a way for the PIs to make decisions and coordinate efforts across sites. This would assure quality control, cross-site training and/or reliability monitoring, and allow pooling of data for analyses. Although the investigators as a group must request advance permission from NIMH to submit such applications if the overall total annual funding requested will exceed $500K in any year, there is no Government involvement in the conceptualization, data collection or publication of results. This makes it different from a Cooperative Agreement (U01 or U10) application in which the Government is considered an integral part of the research team. As a rule, all components of a collaborative CSMD would be reviewed by the same NIMH Scientific Review Group (SRG) and funded by one NIMH program. The collaborative CSMD sites would be interactive, either by undertaking complementary scientific roles, or by working on a common protocol. While the collaborative CSMD is appropriate for studies at different sites of a multi- campus institution, it is not appropriate for collaborations within a single campus institution. Such collaborations within a single campus institution should consider using the Program Project (P01) mechanism. Because of the complexity inherent in most collaborative CSMD applications, and the additional review criteria related to their administration, applicants are strongly encouraged to consult with NIMH program staff (listed under INQUIRIES). 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. This PAR, Collaborative R01s for Clinical Studies of Mental Disorders, 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 Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-512-1800). ELIGIBILITY REQUIREMENTS The collaborative CSMD mechanism requires more than one applicant organization, although multiple campuses of a single institution are also eligible (e.g., among the multiple campuses of a State University system). Applications may be submitted by domestic and foreign, public or private, non- profit or for-profit organization, including units of State and local governments and eligible agencies of the Federal government. The research protocol may include one or more international components. Typical applicants are universities, colleges, hospitals, and laboratories. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators. MECHANISM OF SUPPORT The collaborative CSMD mechanism is limited to research project (R01) applications; no other mechanisms may be used. Applications for collaborative CSMD may not duplicate concurrent applications or awards. RESEARCH OBJECTIVES Collaborative CSMD applications must have a focus on a particular scientific issue or problem. The following are examples of broad research areas within the NIMH research mission that might serve as a focus for collaborative CSMD. This list is not exhaustive, nor are the examples meant to be mutually exclusive. o Large scale treatment (psychopharmacologic and/or psychosocial), prevention, or rehabilitation trials focused on mental disorders, using common protocols across multiple sites. o Studies comparing mental health service delivery and/or financing schemes in different regions. o Genetic studies requiring large numbers of subjects to detect linkage of complex disorders such as schizophrenia, mood disorders, OCD, etc. o Basic-Clinical collaborations involving multiple sites, some with access to well characterized clinical samples and others with state of the art laboratory (e.g. neuroscience, molecular genetic, etc) and/or analytic facilities. o Studies of low prevalence clinical populations (e.g., childhood schizophrenia, late-onset bipolar illness, etc.) or special populations (e.g. minority subjects) requiring several sites to assemble a sufficiently large sample size. Appropriate uses of this mechanism may include, but are not limited to, the following: 1. To obtain a sample of research subjects that would be difficult or impossible to recruit at a single site in a reasonable period of time. For example, several sites might band together to submit collaborative CSMD application to conduct studies (e.g., genetics analyses) in which very large sample sizes are needed for adequate statistical power, or for gender/ethnic subgroup analyses. 2. To broaden the base of support for a project and enhance the credibility or generalizability of the research findings by including parallel collections of data by investigators with differing theoretical orientations, in order to resolve a controversial issue. For example, there could be considerable disagreement and uncertainty with respect to the treatment of a given disorder, such as whether medications, psychosocial therapies, or their combination are most effective. Collaborative CSMD might come from a group of investigators identified with these different positions, and with personnel at each site properly trained to provide the treatments, results might be more persuasive. 3. To facilitate comparisons across multi-disciplinary laboratories, or across a variety of mental health service systems in different geographic areas. An example may be the need for investigating differences in clinical outcome, or for varied services financing schemes, which can be adequately compared only by collecting and comparing data across multiple locations. 4. To use the varied expertise at different institutions to investigate a common topic. In such cases, the tasks of a research project may be divided among sites according to expertise available there. This use of the collaborative CSMD is not unlike a program project (P01), but represents collaborations across institutions, rather than within a single institution. For example, some sites could recruit subjects using common inclusion/exclusion criteria, and other sites may have specific analytic roles. Expertise needed on particular topics might be obtained from one site, while different expertise could come from another site. A site with special strengths in clinical assessment might oversee diagnoses, another may generate neurobiological or genetic data, while yet another might serve as the central site for data management, analyses, and/or distribution. Subsequent to receiving a collaborative CSMD, each principal investigator may apply for competing supplemental funds to support promising new research directions as they evolve. Other benefits include the establishment of collaborations on an equal footing at separate sites (which may include foreign locations). Each participating investigator may benefit because the collaborative CSMD establishes a larger framework of reference for the proposed work and fosters formal collaborations tailored to achieving investigator-initiated research objectives. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS 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 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 in the NIH Guide for Grants and Contracts, Volume 23, Number 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. LETTER OF INTENT Prospective applicants are asked to submit a letter of intent approximately two months before the anticipated application receipt date. The letter should include a descriptive title of the proposed research, the names, addresses, and telephone numbers of the Principal Investigators, the identities of other key personnel and participating institutions, and the number and title of this program announcement. Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows NIMH staff to estimate the potential review workload and avoid conflict of interest in the review. The letter of intent is to be sent to the program staff listed under INQUIRIES. APPLICATION PROCEDURES Applications are to be submitted on the grant application form PHS 398 (rev. 5/95) and will be accepted at the standard application deadlines as indicated in the application kit. The receipt dates for applications for AIDS-related research are found in the PHS 398 instructions. 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; fax (301) 480-0525; Email [email protected]. Separate applications must be prepared by each participating institution. It is crucial that all applications comprising the collaborative CSMD cite this program announcement title and number (PAR-98-017) in section 2 on the application face page. The completed original applications and five legible copies from each institution must be sent or delivered to: CENTER FOR SCIENTIFIC REVIEW (formerly Division of Research Grants) NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710 BETHESDA, MD 20892-7710, or BETHESDA, MD 20817 (for express/courier service) It is conceivable that one or more collaborative CSMD applications may be continuations of currently funded R10s, IRPGs, or separate (i.e., previously non-collaborative) grants, with others being new (Type 1) R01s, all seeking support to come under the umbrella of the collaborative CSMD program. In such cases, the competing renewal (Type 2) applications will keep the same grant number as usual. However, it is essential that the following information be incorporated identically into all collaborative CSMD applications: 1. The application from each site must contain an OVERVIEW that is no longer than two pages. It should list the individual participating sites and provide justification for applying as collaborative CSMD. This section should also make clear the roles of each participating site. 2. RESEARCH PLAN - Section 2 A - D, should describe those aspects of the project that are common to all sites of the collaboration. Investigators should use this section to describe the research procedures or protocol, the study population from which samples are drawn, resources, data analyses, and any other characteristics that support each site?s importance to the overall project. Where there are even minor variations in the research plan, these should be highlighted in a subsection of Section 2 D with the heading "ELEMENTS UNIQUE TO THIS SITE." 3. Applications must describe a feasible mechanism for scientific integration of research procedures, overall managerial and administrative responsibilities, and cross-site comparability of training to assure reliability and quality control. The PIs may or may not wish to designate a Steering Committee or other decision making body, or identify one individual as the contact person for the group as a whole, for purposes of NIMH correspondence. Plans for ensuring access to data by all sites, analytic resources, publication and authorship rights, the possibility of public use research materials and data, or other means of distributing research materials to the wider scientific community, and a means of arbitrating disagreements on publication and other issues should be found in this section of the application. 4. Any site that contracts out some portions of this work should list this fact under "ELEMENTS UNIQUE TO THIS SITE," and provide a full description of the nature, purpose and oversight of this contractual arrangement. As per instruction in the PHS 398 kit, the application may also contain an APPENDIX, including up to 10 publications or other printed material; surveys, questionnaires, data collection sets and clinical protocols; and original glossy photographs provided that photocopies are also included within the 25 page limit of the research plan. In accordance with NIH policy, incomplete applications will be returned by the Grants Referral Office. Revised collaborative CSMD applications must include an Introduction and highlight the changes made in the Research Plan in response to the previous critique and describe in item (I) how the delay in initiating the collaboration will be managed. This is particularly important if some projects in the collaborative CSMD group were awarded and research on those projects has already begun. REVIEW CONSIDERATIONS Applications that are complete will be evaluated for scientific and technical merit by an appropriate peer review group convened in accordance with the standard NIH peer review procedures. As part of the initial merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed, assigned a priority score, and receive a second level review by the National Advisory Mental Health Council, when applicable. Individual applications may receive differing priority scores and/or recommendations. The review committee may not, however, recommend approval of fewer than two sites. Review Criteria Each application within the Collaborative CSMD will be evaluated on the merit of the overall project plan, the merit of each site's individual contributions, and the relationship between these two aspects. Applications will be evaluated according to the following general review criteria: (1) Significance: Do these studies address an important problem? If the aims of the applications 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 proposed projects? Do the applicants acknowledge potential problem areas and consider alternative tactics? (3) Innovation: Do the projects employ novel concepts, approaches or methods? Are the aims original and innovative? Do the projects challenge existing paradigms or develop new methodologies or technologies? (4) 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 investigators and other researchers (if any)? (5) Environment: Do the scientific environment(s) 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(s) or employ useful collaborative arrangements? Is there evidence of institutional support? In addition, the following specific issues will be evaluated: o The scientific rationale for the overall collaborative CSMD, including scientific, technical, or medical significance, originality, and innovativeness of proposed interactive program. o The plan for management (e.g., steering committee or other governing body) of the project across sites, including coordination, decision making, quality control, and resolution of disagreements. o Availability of the resources at each site necessary to carry out the research. o Appropriateness of the proposed budget and duration at each site. o Procedures to ensure access to data, sharing of data and resources (both within and outside the collaborative CSMD group), publication rights, and means of arbitrating and resolving publication disagreements among the participating investigators. o Adequacy of plans to include both genders and minorities and their subgroups as appropriate for the scientific goals of the research. Plans for the recruitment and retention of subjects will also be evaluated. o 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. AWARD CRITERIA Collaborative CSMD applications will compete with all other research project grant applications for available funds. Award decisions are based on the following criteria: 1) scientific merit as determined by the review committee; 2) availability of funds; 3) programmatic balance; and 4) Institute priorities. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Barry D. Lebowitz, Ph.D. Division of Services and Intervention Research National Institute of Mental Health Parklawn Building, Room 10-77 Rockville, MD 20857 Telephone: (301) 443-1185 FAX: (301) 443-4045 Email: [email protected] Direct inquiries regarding fiscal matters to: Diana S. Trunnell Grants Management Branch National Institute of Mental Health Parklawn Building, Room 7C-08 Rockville, MD 20857 Telephone: (301) 443-2805 FAX: (301) 443-6885 Email: [email protected] AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.242. 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. Awards will be administered under PHS grants policy as stated in the Public Health Service Grants Policy Statement (April 1, 1994). PHS strongly encourages all grant and contract recipients to provide a smoke- free workplace and promote the nonuse 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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