Full Text AA-94-007


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

RFA:  AA-94-007



National Institute on Alcohol Abuse and Alcoholism

Application Receipt Date:  August 11, 1994


The National Institute on Alcohol Abuse and Alcoholism (NIAAA) is
seeking small grants applications to stimulate and facilitate the
entry of promising investigators into the field of alcoholism
treatment research.  This pilot program is designed to provide rapid
review and funding decisions for applications.  The NIAAA encourages
investigators at the beginning of their alcohol research careers to
submit applications for small-scale research projects (up to $10,000
for direct costs for one year) related to issues surrounding
assessment and treatment of alcoholism.


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 Request
for Applications (RFA), Small Grants for New Alcoholism Treatment
Researchers, is related to the priority areas of alcohol abuse
reduction and alcoholism treatment.  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 202-783-3238).


Applications may be submitted by public and private non-profit and
for-profit organizations such as universities, colleges, hospitals,
treatment facilities, research institutions, units of State or local
government, and eligible agencies of the Federal government.  Women
and minority investigators are encouraged to apply.

To be eligible for this award, the proposed Principal Investigator
must be at the beginning of her/his research career and be able to
secure a meaningful mentoring relationship with a more experienced
researcher.  Such experience must be in some way relevant to the
project, though it need not be specifically in the field of
alcoholism treatment.  Special target groups for this award include
pre-doctoral graduate students, post-doctoral fellows, as well as
clinicians now working in the field of alcoholism treatment.
Investigators who have received a research project grant (R01), Small
Grant (R03), Exploratory/Development Grant (R21), First Independent
Research Support and Transition (FIRST) Award (R29), Scientist
Development Award for Clinicians (K20), or a Scientist Development
Award (K21) are not eligible to apply.


These awards will use the Small Grant Mechanism (RO3).  Support may
be requested for up to one year for up to $10,000 for direct costs.
These awards are not renewable, but a one-year no cost extension may
be requested.

Replacement of the Principal Investigator on this award is not
permitted.  Transfer of the award, with the Principal Investigator,
to another institution for the remainder of the grant period may be
requested as long as the relationship with the mentor is maintained.

Grant funds may be used for expenses clearly related and necessary to
conduct the research projects, including both direct costs that can
be specifically identified with the project and allowable indirect
costs of the institution.  The award may not be used for salary
support of either the Principal Investigator or mentor, but may be
used to support the costs of technicians and for dissertation


It is estimated that approximately $100,000 will be available for
approximately seven to eight grants under this RFA in FY 1995.  This
level of support is dependent on the receipt of a sufficient number
of applications of high scientific merit.  Additional applications
may also be funded if their scientific and technical merit warrants
it.  Although this program is provided for in the financial plans of
the NIAAA, the award of grants pursuant to this RFA is also
contingent upon the availability of funds for this purpose.


With competition for NIAAA grant funds increasing, academic careers
becoming more dependent on funded grants, and costs associated with
preparation of grant applications escalating, investigators face
numerous challenges in entering a new research arena.  The objective
of this RFA is to stimulate and encourage promising new researchers
to enter the field of alcoholism treatment research.  It is
anticipated that the prospects for funding meritorious projects under
this RFA will likely be more favorable than is the case with larger
award requests by more senior investigators.

The Treatment Research Branch of the Division of Clinical and
Prevention Research supports research on management of alcoholism,
alcohol abuse, and alcohol-related disorders, including evaluation of
new treatment methods, assessment of effectiveness of various kinds
of behavioral and pharmacologic interventions, development of new
diagnostic instruments, and elaboration and refinement of
assessment/methodologies for research on effectiveness and costs of
treatment.  The Branch also supports health services research on the
organization, financing, delivery, and effectiveness of alcoholism
treatment.  This award is designed as a rapid mechanism that provides
"seed" funds for investigators who have not received research or
career development grant funds from NIAAA in the past.  It supports

o  Pilot projects on treatment issues and outcomes;
o  Psychometric analyses and instrument development; and
o  Secondary analyses of existing data sets.



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.

Investigators may obtain copies from these sources or from the
program staff or contact person listed below.  Program staff may also
provide additional relevant information concerning the policy.


The research grant application form PHS 398 (rev. 9/91) is to be used
in applying for these grants.  These forms are available at most
institutional offices of sponsored research; from the Office of
Grants Information, Division of Research Grants, National Institutes
of Health, 5333 Westbard Avenue, Room 449, Bethesda, MD 20892,
telephone 301-710-0267; and from the NIAAA program administrator
listed under INQUIRIES.

The RFA label available in the PHS (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 RFA title and number must be typed on
line 2a of the face page of the application form and the YES box must
be marked.

The biographical sketch for both the applicant and mentor should be
kept to a minimum (not to exceed 1 or 2 pages each).  Sections 1-4 of
the Research Plan must be brief (i.e., 2-3 pages); in no case should
the Research Plan exceed 5 pages.  Applications failing to meet these
page limitations may be returned without review.  Include sufficient
but concise information to facilitate an effective evaluation.  The
following information should be included:  a description of the
objectives of the research and what the research is intended to
accomplish; why the work is important; a brief description of the
research design and the procedures to be used to accomplish the
objectives of the project; and a description of the research mentor's
qualification and experience.  In all other respects, applications
must meet the conditions set out in form PHS 398, including a
standard cover page, a statement of current and pending research
support, and a budget.

The signed original, including the checklist, and three signed,
legible copies of the completed application must be sent to:

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

At the time of submission, two additional copies of the application
must also be sent to:

Chief, Extramural Project Review Branch
ATTN:  RFA AA-94-007
Office of Scientific Affairs
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 409
6000 Executive Boulevard
Rockville, MD  20852-7003*
Telephone:  301-443-4375
FAX:  301-443-6077

Applications must be received by August 11, 1994.  If an application
is received after that date, it will be returned to the applicant.
The Division of Research Grants (DRG) will not accept any application
in response to this RFA that is essentially the same as one currently
pending initial review, unless the applicant withdraws the pending
application.  The DRG will not accept any application that is
essentially the same as one already reviewed.  This does not preclude
the submission of substantial revisions of applications already
reviewed, but such applications must include an introduction
addressing the previous critique.


Upon receipt, applications will be reviewed for completeness by DRG
and for responsiveness by the NIAAA.  Incomplete applications will be
returned to the applicant without further consideration.  If the
application is not responsive to the RFA, NIAAA staff will contact
the applicant to determine whether to return the application to the
applicant or request the applicant to revise and resubmit it as a
regular Small Grant application for review in competition with
unsolicited applications at the next review cycle.

Applications may be triaged by an NIAAA peer review group on the
basis of relative competitiveness.  The NIH will withdraw from
further competition those applications judged to be non-competitive
for award and notify the applicant and institutional official.  Those
applications judged to be competitive will undergo further scientific
merit review in accordance with the criteria stated below for
scientific/technical merit by an appropriate peer review group
convened by the NIAAA.  Applications may also be reviewed by mail

Review Criteria

Criteria to be used in the scientific and technical merit review of
Small Grants for New Alcoholism Treatment Researchers applications
will include the following:

1.  The scientific, technical, health, or medical significance and
originality of the proposed research.

2.  The appropriateness and adequacy of the research design and
methodology proposed to carry out the proposed research.

3.  Ability to secure a mentoring relationship with an experienced

4.  The adequacy of the qualifications and relevant research
experience of the principal investigator and the principal
investigator's mentor.

5.  The availability of adequate data, facilities, general
environment for the conduct of the proposed research, other
resources, and collaborative arrangements necessary for the research.

6.  The reasonableness of budget estimates for the proposed research.

7.  Where applicable, the adequacy of procedures to protect or
minimize effects on human subjects and the environment.

8.  Conformance of the application to the NIH policy on inclusion of
women and minorities in study populations.


Applications recommended for approval will be considered for funding
on the basis of the overall scientific and technical merit of the
proposal as determined by peer review, NIAAA programmatic needs and
balance, and the availability of funds.


Potential applicants are encouraged to seek preapplication
consultation and may contact the individual listed below for
consultation in preparing an application under this RFA.

Direct inquiries regarding programmatic issues to:

Joanne Fertig, Ph.D.
Division of Clinical and Prevention Research
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 505
6000 Executive Boulevard
Rockville, MD  20892-7003
Telephone:  (301) 443-0635
FAX:  (301) 443-8774

Direct inquiries regarding fiscal matters to:

Joseph Weeda
Office of Planning and Resource Management
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 504
6000 Executive Boulevard
Rockville, MD  20892-7003
Telephone:  (301) 443-4703
FAX:  (301) 443-3891


This program is described in the Catalog of Federal Domestic
Assistance, No. 93.273.  Awards are made under the authorization of
the Public Health Service Act, Sections 301 and 464H, and
administered under the PHS policies and Federal Regulations at Title
42 CFR Part 52, "Grants for Research Projects;" Title 45 CFR Parts 74
and 92, "Administration of Grants;" and 45 CFR Part 46, "Protections
of Human Subjects."  This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or
Health Systems Agency review.

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


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