NIMH SMALL GRANTS PROGRAM Release Date: August 6, 1999 (see replacement PA-03-039) PA NUMBER: PAR-99-140 National Institute of Mental Health THIS PROGRAM ANNOUNCEMENT (PA) USES THE "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. IT INCLUDES DETAILED MODIFICATIONS TO STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED WHEN PREPARING APPLICATIONS IN RESPONSE TO THIS PA. PURPOSE This PA replaces PAR-97-015 "NIMH SMALL GRANTS PROGRAM," which was published in the NIH Guide, Vol. 25, No. 42, December 6, 1996. The National Institute of Mental Health (NIMH) Small Grants Program provides research support of up to $50,000 per year (direct costs) for up to two years for new research projects in areas of high relevance to the mission of the NIMH. Small grants are short-term awards designed to answer specific and targeted research questions. Both new and more experienced investigators are encouraged to apply for grants under this announcement. Newer investigators may use the award to generate new or additional preliminary data for future research grants (e.g. R01). More experienced investigators must justify support under this mechanism as either representing new research directions for the investigator or develop and test new methodology. The award is also intended to support investigators at institution that do not have extensive research resources (see RESEARCH OBJECTIVES). 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 PA "NIMH SMALL GRANTS PROGRAM," is related to the priority area of Mental Health and Mental Disorders. Potential applicants may obtain a copy of "Healthy People 2000" at http://odphp.osophs.dhhs.gov/pubs/hp2000/ ELIGIBILITY REQUIREMENTS 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. Foreign institutions are not eligible for NIMH Small Grants Program. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators. It is important to note that while the NIMH encourages applications from new investigators, individuals who are in training status and being supported by National Research Service Awards (NRSA) traineeships and/or fellowships are not eligible to be supported until the completion or termination of the approved research training program, which must occur prior to the beginning date of an R03 research project as a Principal Investigator. MECHANISM OF SUPPORT This program will use the small grant (R03) mechanism. Support may be requested for up to two years at $50,000 per year in direct costs, plus facilities and administrative (F&A) costs. Small grants are not renewable. Specific application instructions have been modified to reflect "MODULAR GRANT" and "JUST-IN-TIME" streamlining efforts being examined by the NIH. Complete and detailed instructions and information on Modular Grant applications can be found at https://grants.nih.gov/grants/funding/modular/modular.htm RESEARCH OBJECTIVES The small grant program provides relatively limited financial support for research of high priority to the NIMH for which a time period of one to two years is appropriate. Priority will be given to applications in any of the following four categories: 1. Newer, less experienced investigators. 2. Investigators at institutions without well developed research traditions and resources. 3. More experienced investigators, for exploratory studies that represent significant change in research direction for them. 4. More experienced investigators, for developing and testing new methods or techniques. Applications must include an introductory paragraph in the research plan section of the application identifying which priority category (1 through 4 above) is relevant and providing explicit justification for its applicability. If the application does not fall into any of the priority categories, this should be stated. Applications may be made for support of research in any scientific area relevant to mental health (for program areas supported by NIMH see: http://www.nimh.nih.gov/grants/grantgen2.htm). While applications may involve a wide variety of biomedical, behavioral, or clinical disciplines, relevance to the mission of the NIMH must be clear. Applications for studies outside these areas will be returned without review. Potential applicants with questions concerning acceptability of their proposed work may contact the program staff listed under INQUIRIES. 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, Vol. 23, No. 11, March 18, 1994 available on the web at the following URL address: https://grants.nih.gov/grants/guide/1994/94.03.18/notice-nih-guideline008.html INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of NIH that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. This policy applies to all initial (Type 1) applications submitted for receipt dates after October 1, 1998. All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines on the Inclusion of Children as Participants in Research Involving Human Subjects" that was published in the NIH Guide for Grants and Contracts, March 6, 1998, and is available at the following URL address: https://grants.nih.gov/grants/guide/notice-files/not98-024.html Investigators also may obtain copies of these policies from the program staff listed under Inquiries. Program staff may also provide additional relevant information concerning the policy. APPLICATION PROCEDURES The modular grant concept establishes specific modules in which direct costs may be requested as well as a maximum level for requested budgets. Only limited budgetary information is required under this approach. The just-in- time concept allows applicants to submit certain information only when there is a possibility for an award. It is anticipated that these changes will reduce the administrative burden for the applicants, reviewers and Institute staff. The research grant application form PHS 398 (rev. 4/98) is to be used in applying for these grants, with the modifications noted below. BUDGET INSTRUCTIONS Modular Small Grant applications will request direct costs in $25,000 modules, up to a total direct cost request of $50,000 per year. The total direct costs must be requested in accordance with the program guidelines and the modifications made to the standard PHS 398 application instructions described below: PHS 398 o FACE PAGE: Items 7a and 7b should be completed, indicating Direct Costs (in $25,000 increments up to a maximum of $50,000 per year) and Total Costs [Modular Total Direct plus Facilities and Administrative (F&A) costs] for the initial budget period Items 8a and 8b should be completed indicating the Direct and Total Costs for the entire proposed period of support. o DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD - Do not complete Form Page 4 of the PHS 398. It is not required and will not be accepted with the application. o BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT - Do not complete the categorical budget table on Form Page 5 of the PHS 398. It is not required and will not be accepted with the application. o NARRATIVE BUDGET JUSTIFICATION - Prepare a Modular Grant Budget Narrative page. (See https://grants.nih.gov/grants/funding/modular/modular.htm for sample pages.) At the top of the page, enter the total direct costs requested for each year. This is not a Form page. o Under Personnel, List key project personnel, including their names, percent of effort, and roles on the project. No individual salary information should be provided. However, the applicant should use the NIH appropriation language salary cap and the NIH policy for graduate student compensation in developing the budget request. For Consortium/Contractual costs, provide an estimate of total costs (direct plus facilities and administrative) for each year, each rounded to the nearest $1,000. List the individuals/organizations with whom consortium or contractual arrangements have been made, the percent effort of key personnel, and the role on the project. Indicate whether the collaborating institution is foreign or domestic. The total cost for a consortium/contractual arrangement is included in the overall requested modular direct cost amount. o BIOGRAPHICAL SKETCH - The Biographical Sketch provides information used by reviewers in the assessment of each individual's qualifications for a specific role in the proposed project, as well as to evaluate the overall qualifications of the research team. A biographical sketch is required for all key personnel, following the instructions below. No more than three pages may be used for each person. A sample biographical sketch may be viewed at: https://grants.nih.gov/grants/funding/modular/modular.htm - Complete the educational block at the top of the form page; - List position(s) and any honors; - Provide information, including overall goals and responsibilities, on research projects ongoing or completed during the last three years. - List selected peer-reviewed publications, with full citations; o CHECKLIST - This page should be completed and submitted with the application. If the F&A rate agreement has been established, indicate the type of agreement and the date. All appropriate exclusions must be applied in the calculation of the F&A costs for the initial budget period and all future budget years. o The applicant should provide the name and phone number of the individual to contact concerning fiscal and administrative issues if additional information is necessary following the initial review. Specific instructions for Small Grant applications: In addition to the above instructions, the following specific instructions must be followed: 1. The narrative portion of the small grant application that describes the research plan (items a-d) may not exceed 10 pages of text. Applications exceeding this length will be returned without review. Appendices may not be used to exceed the page limitation. 2. An introductory paragraph to the research plan must identify which of the four priority categories listed under RESEARCH OBJECTIVES applies and provide an explanation of how that priority category applies. If the application does not fall into any of the priority areas, this should be stated. The research grant application form PHS 398 (rev. 4/98) is to be used in apply for this program. 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]. They may also be obtained from the following Website: https://grants.nih.gov/grants/forms.htm. The title and number of the program announcement must be typed in Section 2 on the face page of the application. An original and five legible copies of the completed and signed application are to be sent or delivered to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040-MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) Applications for NIMH SMALL GRANT PROGRAM will be accepted and reviewed three times a year according to the following schedule: Application Receipt Dates: Feb 1 Jun 1 Oct 1 Review Meeting: Jun/Jul Oct/Nov Feb/Mar NIMH Council Meeting: Sep Jan May Earliest Possible Start Dates: Dec 1 Apr 1 Jul 1 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. 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? (6) Appropriateness of the proposed budget and duration in relation to the proposed research; (7) Adequacy of plans to include genders, children and adolescents, and minorities and their subgroups as appropriate for the scientific goals of the research, or justification for their exclusion. Plans for the recruitment and retention of subjects will also be evaluated. 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, Children and Adolescents and Minorities as Subjects in Clinical Research. Additional considerations pertinent to the review of NIMH Small Grant (R03) applications: o Because the research plan is limited to 10 pages, a Small Grant application may not have the same level of detail or extensive discussion normally found in an R01 application. Review emphasis should be placed on conceptual framework and general approach to the problem, with less emphasis on methodological details. o Pilot/feasibility studies contain little or no preliminary data. Review should focus on whether the rationale for the study is well developed and whether the proposed research is likely to generate data that will lead to a regular research project grant or full-scale clinical trial. Adequate justification for the proposed work may be provided through literature citations, data from other sources, or investigator-generated data. AWARD CRITERIA Applications will compete for available funds with all other recommended applications. The following will be considered in making funding decisions: Quality of the proposed project as determined by peer review, availability of funds, and program priority. INQUIRIES Applicants are strongly encouraged to contact NIMH staff for technical assistance and information concerning current program priorities before applying for an award. Information about "NIMH Extramural Programs and Program Official Contacts" may be obtained from the following Website: http://www.nimh.nih.gov/grants/grantgen2.htm For overall NIMH policy with regard to this initiative, contact: Henry Khachaturian, Ph.D. Office of Science Policy and Program Planning National Institute of Mental Health 6001 Executive Boulevard, Room 8208, MSC 9667 Bethesda, MD 20892 Telephone: (301) 443-4335 FAX: (301) 443-3225 Email: [email protected] For specific Division/Office-level program interests, contact the following training staff, to whom letters-of-intent should be addressed: Della Hann, Ph.D. Division of Mental Disorders, Behavioral Research and AIDS National Institute of Mental Health 6001 Executive Boulevard, Room 6217, MSC 9621 Bethesda, MD 20892 Telephone: (301) 443-9700 FAX: (301) 480-6000 Email: [email protected] Walter L. Goldschmidts, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7196, MSC 9645 Bethesda, MD 20892 Telephone: (301) 443-3563 FAX: (301) 443-1731 Email: [email protected] Enid Light, Ph.D. Division of Services and Intervention Research National Institute of Mental Health 6001 Executive Boulevard, Room 7160, MSC 9635 Bethesda, MD 20892 Telephone: (301) 443-1185 FAX: (301) 443-4045 Email: [email protected] Michael Hirsch, Ph.D. Office on Neuroinformatics National Institute of Mental Health 6001 Executive Boulevard, Room 6167, MSC 9613 Bethesda, MD 20892 Telephone: (301) 443-1815 Email: [email protected] Direct inquiries regarding fiscal matters to: Diana S. Trunnell Grants Management Branch National Institute of Mental Health 6001 Executive Boulevard, Room 6115, MSC 9605 Bethesda, MD 20892 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 National Institutes of Health Grants Policy Statement (October 1, 1998). 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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