Full Text HS-93-01 GRANTS FOR HEALTH SERVICES DISSERTATION RESEARCH NIH GUIDE, Volume 21, Number 35, October 2, 1992 RFA: HS-93-01 P.T. 34 Keywords: Health Services Delivery Biomedical Research, Multidiscipl Agency for Health Care Policy and Research Application Receipt Date: January 22, 1993 PURPOSE The Agency for Health Care Policy and Research (AHCPR) was established in December 1989 by P.L. 101-239 as the successor to the National Center for Health Services Research and Health Care Technology Assessment (NCHSR). The AHCPR conducts research that will enhance the quality, appropriateness and effectiveness of health care services, and access to such services. The AHCPR announces a Request for Applications (RFA) for grants for health services dissertation research. The provision of dissertation grant support is part of the effort of the AHCPR to stimulate the development of innovative and timely research on issues related to the delivery of health care services. Grant support is designed to aid the career development of new health services researchers and to encourage individuals from a variety of academic disciplines and programs to study complex issues with respect to health care services. HEALTHY PEOPLE 2000 The 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. The AHCPR urges applicants to submit grant applications with relevance to specific objectives of this initiative. 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). ELIGIBILITY REQUIREMENTS A student applying for a dissertation research grant must be enrolled in an accredited doctoral degree program in the social, management, medical, or health sciences. The student also must be conducting or intending to conduct dissertation research on issues related to the delivery of health care services as described below. The proposed Principal Investigator (PI) must be a registered doctoral candidate in resident or nonresident status. All requirements for the doctoral degree other than the dissertation must be completed by the time of the award. This information must be verified in a letter of certification from the thesis chairperson and submitted with the grant application (see APPLICATION PROCEDURES). The applicant may be either the institution that will administer the grant on behalf of the proposed PI or the proposed PI applying as an individual. Whenever feasible, the proposed PI is encouraged to have the application administered through an institution. This may be either the degree-granting institution or another nonprofit institution with which the proposed PI is professionally affiliated. In determining which institution is more appropriate, the student must consider the extent to which the resources of the designated institution are capable of supporting the proposed research effort. A proposed PI for dissertation research grant support need not be a citizen of the United States. However, a PI who is not a U.S. citizen and does not have a permanent resident visa must apply through an institution. Also, an application from a student enrolled in a foreign institution will be accepted provided that the application is in English and the PI applies through an institution. A PI who receives support for dissertation research under a grant from AHCPR may not at the same time receive support under a predoctoral training grant or fellowship grant awarded by any other agency of the U.S. Department of Health and Human Services. MECHANISM OF SUPPORT This RFA will use the AHCPR small grant (R03). Responsibility for the planning, direction, and execution of the proposed project will be solely that of the proposed PI. In addition to the requirements stated in this RFA, awards will be administered under PHS grants policy as described in the PHS Grants Policy Statement. The budget of an application for a dissertation research grant must not exceed $20,000 in direct costs for the entire project period. An application that exceeds this amount will be returned to the applicant. Investigators may request support only for the amount of time necessary to complete the dissertation. A dissertation research grant usually is awarded for a period of 12 months or less but may be awarded for up to 17 months. Investigators who need 18 months or more to complete the research project will be required to submit a continuation application for support beyond the first 12 months. Continuation support may be awarded if satisfactory progress is being made, but the direct costs of the entire project may not exceed $20,000. FUNDS AVAILABLE The AHCPR expects to fund about 15 to 20 dissertation research projects in 1993. The number of awards will depend on the availability of funds. RESEARCH OBJECTIVES Only applications that propose studies in the areas identified in section 902 of the Public Health Service Act are eligible for support. Section 902 authorizes research in the following areas: o Effectiveness, efficiency, and quality of health care services o Outcomes of health care services and procedures o Clinical practice, including primary care and practice-oriented research o Health care technologies, facilities, and equipment o Health care costs, productivity, and market forces o Health promotion and disease prevention o Health statistics and epidemiology o Medical liability o AIDS/HIV infection o Rural health services o Health of low-income, minority, elderly, and other underserved populations Applicants are encouraged to discuss the suitability of their research topics by letter or by phone with AHCPR staff members. (See INQUIRIES) Allowable Costs Expenses usually allowed under PHS research grants will be covered by AHCPR dissertation research grants. Allowable costs include the PIs salary; direct project expenses such as travel, data processing, and supplies; and for institutional applicants only, indirect costs. Fees for maintaining matriculation or other fees imposed on those preparing dissertations are allowable costs, provided the fees are required of all students of similar standing regardless of the source of funding. Applicants are expected to work full time on the project. Any level of effort that is less than full-time must be fully justified. For the purpose of calculating indirect costs, dissertation research grants are considered to be training grants. Therefore, in accordance with PHS policy, indirect costs are limited to eight percent of direct costs, payable only when the applicant is an institution. Other Conditions The following conditions apply to dissertation grants: A PI who discontinues or suspends a project during the grant period must inform the AHCPR immediately in writing. The AHCPR may suspend or terminate the grant as requested by the PI or on its own initiative. The dissertation constitutes the final report of the grant. The dissertation must be officially accepted by the faculty committee or university official responsible for the candidate's dissertation and must be signed by the responsible officials. Three copies of the dissertation must be submitted to the AHCPR. The dissertation and all financial status reports must be submitted in English. SPECIAL INSTRUCTIONS TO APPLICANTS CONCERNING INCLUSION OF WOMEN AND MINORITIES IN RESEARCH STUDY POPULATIONS The AHCPR requires applicants for research grants to include minorities and women in study populations so that research findings can be of benefit to all persons at risk of the disease, disorder, or condition under study. Special emphasis should be placed on the need to include minorities and women in studies of diseases, disorders and conditions which disproportionately affect them. This policy is intended to apply to males and females of all ages. If women or minorities are excluded or inadequately represented in research, particularly in proposed population-based studies, a clear and compelling rationale should be provided. The composition of the proposed study population must be described in terms of gender and race/ethnicity. In addition, gender and racial/ethnic issues should be addressed in developing the research design and sample size appropriate for the scientific objectives of the study. This information should be included on the form PHS 398 in Sections 1-4 of the Research Plan and summarized in Section 5, Human Subjects. State and local governments using form PHS 5161 should include this information in the Program Narrative section. Applicants are urged to assess carefully the feasibility of including the broadest possible representation of minority groups. However, the AHCPR recognizes that it may not be feasible or appropriate in all research projects to include representation of the full array of United States racial/ethnic minority populations (i.e., Native Americans, Asian/Pacific Islanders, Blacks, Hispanics). Where appropriate, the applicant should provide the rationale for studies on single minority population groups. All applications for research submitted to the AHCPR are required to address this policy. The AHCPR will not award grants for applications which do not comply. If the required information is not contained in the application, the application will be returned without review. Problem Significance o The project is focused on a significant problem in the delivery of health care. o The methodology or anticipated results of the project have national interest, provide a basis for generalized conclusions, or have important practical applicability. Research Design o The problem to be addressed by the research is clearly defined. o The application reflects an adequate knowledge of other research related to the problem. 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 sampling procedures, 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 undertaken. 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. Investigator's Qualifications and Support Structure o The applicant shows promise as a health services research investigator. o The experience and training of the applicant are sufficient to carry out the research. o The available facilities and organizational arrangements are appropriate to the research. o Faculty advice, composition of dissertation committee, and support are suitable to the research being undertaken, as evidenced by the letter of support. Budgetary Appropriateness o The allocation of time and money reflects an understanding of the research tasks to be accomplished and of the problems likely to arise. o Where appropriate and feasible, the proposed approach uses data available or being collected through government and other sources. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 9/91) is to be used in applying for these grants in accordance with the special instructions described here and in the application kit. Research grant application materials and special instructions for dissertation grant applications are available from: AHCPR Publications Clearinghouse P.O. Box 8549 Silver Spring, MD 20907 Telephone: 1-800-358-9295 The RFA label available in the PHS 398 application must be affixed to the bottom of the face page. Failure to use this label may result in delayed processing of an application such that it may not reach the review committee in time for review. In addition, the RFA title and number, HS-93-01, must be typed in the box marked Item 2a of the application face page. The original application and five copies must be sent directly to: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** Applicants that are State and local governments may use form PHS 5161 and submit an original and two copies. Applications must be received by Friday, January 22, 1993. 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: (1) fully identify the members of the committee and certify their approval of the dissertation proposal, (2) certify that all requirements for the doctoral degree except the dissertation are completed (or will be completed by the time of the grant award), and (3) note that the university official or faculty committee expects the doctoral candidate to proceed with the approved project proposal with or without AHCPR support. An attachment must identify all members of the applicant's faculty advisory committee, including for each the university departmental affiliation and rank, highest degree with name of degree granting institution, date conferred and major discipline. An application that does not conform to these instructions will be returned. Revised and resubmitted applications have seldom been funded, therefore, individuals are strongly encouraged to contact Dr. Pellegrino, at the address listed below, to discuss their intentions prior to submitting a revised application. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed by the Division of Research Grants for completeness and by AHCPR staff for responsiveness. Incomplete or unresponsive applications will be returned to the applicant. Dissertation research grant applications will be reviewed under AHCPR review procedures by non-Federal or Federal experts. Reviewers will be selected on the basis of their health services research accomplishments and knowledge and their experience in research career development. Because reviews are rigorous, considerable methodological detail is important in the narrative of the application. All elements of the application will be considered in the review process. Primary emphasis will be given to the significance, scientific merit, and feasibility of the project. Applications may be subject to triage to determine their scientific merit relative to other applications received in response to this RFA. The AHCPR will withdraw from further competition those applications judged by triage to be noncompetitive for award and notify the PI and institutional official. Those applications judged to be competitive will undergo further scientific merit review. Review results and funding decisions will be announced approximately five months after the submission date. Review criteria, award criteria, and continuation of support are described below. Review Criteria Applications are reviewed to determine their suitability to review criteria in four major areas: problem significance, research design, investigator's qualifications and support structure, and budgetary appropriateness. AWARD CRITERIA Reviewers will provide recommendations with regard to the scientific and technical merit of the application and whether it should receive further consideration. Funding decisions are made by the AHCPR based on the recommendations of the reviewers, the relevance of the project to program priorities, and the availability of appropriated funds. INQUIRIES Written and telephone inquiries concerning this RFA are encouraged. Applicants are encouraged to discuss programmatic issues, such as the suitability of their research topics, by letter or telephone with: Julius Pellegrino, M.B.A., M.P.H. Program Coordinator, Dissertation Grants Center for General Health Services Extramural Research Executive Office Center, Suite 502 2101 E. Jefferson Street Rockville, MD 20852 Telephone: (301) 227-8357 Direct inquiries regarding instructions for completing the application to: Galen B. (Sandy) Warren, D.D.S., M.P.H. Office of Scientific Review Agency for Health Care Policy and Research Executive Office Center, Suite 602 2101 E. Jefferson Street Rockville, MD 20852 Telephone: (301) 227-8449 Direct inquiries regarding fiscal and administrative matters to: Ralph Sloat Chief, Grants Management Branch Agency for Health Care Policy and Research Executive Office Center, Suite 601 2101 E. Jefferson Street Rockville, MD 20852 Telephone: (301) 227-8447 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.226. Awards are made under authority of title IX of the Public Health Service Act, as amended (42 U.S.C. 299-299c-6), and administered under PHS grants policies and in accordance with regulations of Title 42 of the Code of Federal Regulations, Part 67, Subpart A. A copy of these regulations and the dissertation research grant application instructions will be among the materials sent to each applicant. The requirements of Executive Order 12372, Intergovernmental Review of Federal Programs, are not applicable to AHCPR research grant programs. .
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