Department of Health
and Human Services (HHS)
and Human Services (HHS)
EXPIRED
National Institute of Mental Health (NIMH)
New
March 10, 2020 - Reminder: FORMS-F Grant Application Forms & Instructions Must be Used for Due Dates On or After May 25, 2020- New Grant Application Instructions Now Available. See Notice NOT-OD-20-077.
March 13, 2020 - Notice of Change in Key Dates for RFA-MH-20-401. See Notice NOT-MH-20-043.July 26, 2019 - Changes to NIH Requirements Regarding Proposed Human Fetal Tissue Research. See Notice NOT-OD-19-128
August 23, 2019 - Clarifying Competing Application Instructions and Notice of Publication of Frequently Asked Questions (FAQs) Regarding Proposed Human Fetal Tissue Research. See Notice NOT-OD-19-137
RFA-MH-20-400 , R01 Research Project Grant
93.242
This Funding Opportunity Announcement (FOA) supports pilot work for subsequent studies testing the effectiveness of strategies to deliver evidence-based mental health services, treatment interventions, and/or preventive interventions (EBPs) in low-resource mental health specialty and non-specialty settings within the United States. The FOA targets settings where EBPs are not currently delivered or delivered with fidelity, such that there are disparities in mental health and related functional outcomes (e.g., employment, educational attainment, stable housing, integration in the community, treatment of comorbid substance use disorders, etc.) for the population(s) served. Implementation strategies should identify and use innovative approaches to remediate barriers to provision, receipt, and/or benefit from EBPs and generate new information about factors integral to achieving equity in mental health outcomes for underserved populations. Research generating new information about factors causing/reducing disparities is strongly encouraged, including due consideration for the needs of individuals across the life span. Applications proposing definitive tests of an implementation strategy should respond to the companion R01 announcement RFA-MH-20-400 .
November 27, 2019
January 24, 2020 and July 25, 2020
February 24, 2020 and August 25, 2020
No late applications will be accepted for this Funding Opportunity Announcement
All applications are due by 5:00 PM local time of applicant organization. All types of non-AIDS applications allowed for this funding opportunity announcement are due on the listed date(s).
Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.
June 2020 and October 2020
August 2020 and January 2021
September 2020 and April 2021
Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions.
Applications that do not comply with these instructions may be delayed or not accepted for review.
Purpose:
This Funding Opportunity Announcement (FOA) supports pilot work in support of subsequent studies testing the effectiveness of strategies to deliver evidence-based mental health services, treatment interventions, and/or preventive interventions (EBPs) in low-resource mental health specialty and non- specialty settings within the United States. The FOA targets settings where EBPs are not currently delivered or delivered with fidelity, such that there are disparities in mental health and related functional outcomes (e.g., employment, educational attainment, stable housing, integration in the community, treatment of co-morbid substance use disorders, etc.) for the population(s) served. Implementation strategies should identify and use innovative approaches to remediate barriers to provision, receipt, and/or benefit from EBPs and generate new information about factors integral to achieving equity in mental health outcomes for under-served populations. Research generating new information about factors causing/reducing disparities is strongly encouraged, including due consideration for the needs of individuals across the life span.
Background
Evidence-based mental health services, treatment interventions, and preventive interventions (EBPs) are effective in improving clinical and functional outcomes for a wide variety of people with mental illness across the life span. Ample evidence suggests, however, that EBPs are often not delivered in low-resource settings and in settings where clients are predominantly from traditionally under-served populations. These populations are also more likely to have worse mental health outcomes, and more inpatient hospitalizations and emergency room use for psychiatric crises. While the prevalence of some mental disorders may be lower among some minorities, the course of illness is often more severe, persistent, and disabling. Recent research also suggests that disparities in receipt of mental health treatment and services may be increasing. Based on these findings, this FOA solicits pilot work in support of future, larger scale research intended to improve access to evidence-based mental health care in low-resource areas and for under-served populations as a strategy for achieving greater equity in mental health and related functional outcomes and reducing disparities.
Research Objectives
This initiative supports pilot work in support of subsequent studies testing the effectiveness of strategies to deliver EBPs in low-resource settings in the United States, in order to reduce disparities in mental health and related functional outcomes (e.g., employment, educational attainment, stable housing, integration in the community, treatment of co-morbid substance use disorders, etc.) for the population(s) served. Of interest are settings where a significant number of children, youth, adults, or older adults with or at risk for mental illnesses can be found and evidence-based mental health treatments or services are not currently delivered.
Applications focused on developmental work that would enhance the probability of success in subsequent larger scale projects are also encouraged.
Developmental work might include: refining details of the implementation approach; examining the feasibility of novel approaches and technologies; examining the feasibility of data collection including administration of instruments, obtaining administrative or other types of data, etc.; enhancing the protocol for the comparison group and randomization procedures (if appropriate); examining the feasibility of recruiting and retaining participants into the study condition(s); and developing and testing supportive materials such as training curricula. Therefore, collection of preliminary data regarding feasibility, acceptability and engagement of intervention targets is appropriate. However, given the intended pilot nature of the R34 activity code, conducting fully powered tests of outcomes or attempting to obtain an estimate of an effect size may not be feasible.
The goal of this FOA is to conduct pilot work in support of subsequent studies that develop test the effectiveness of scalable implementation strategies to achieve delivery of EBPs with high fidelity in low-resource settings and significantly improve clinical and functional outcomes toward greater equity with outcomes documented the general population studies. Applications proposing definitive tests of an implementation strategy should respond to the companion R01 announcement: RFA-MH-20-400.
For the purposes of this FOA, NIMH uses the following definitions:
Pilot work might include developing strategies for delivery of EBPs that focus on: access, quality/fidelity of care delivery, patient/family engagement, care management and coordination, or other innovative strategies and are empirically or theoretically justified. Implementation strategies might address EBP delivery barriers at one or more of the following: provider-, clinic-, organizational-, within- or cross-systems levels.
Pilot studies submitted to this FOA should be structured to inform future studies of whether and how the implementation strategy achieves delivery of the EBP with fidelity, and measurement of whether receipt of EBP leads to improved mental health and related functional outcomes for the intended population(s). Relevant pilot work might include preliminary assessment of the feasibility , usability and acceptability of: 1) measuring change in the targeted proximal factors (e.g., consumer- or provider-behaviors, and or organizational-/system level factors) ; 2) measuring fidelity in delivery of the EBP(s); 3) measuring improvement in clinical and functional outcomes in the populations served; and 4) any other factors relevant that will strengthen the success of a future larger scale study of sustained delivery of EBPs in under-resourced settings and determine the mechanisms that contribute to reducing or eliminating disparities through improved clinical and related functional outcomes.
In addition, it is expected that the application/scope of work should be formulated following NIMH requirements for clinical trials (see: https://www.nimh.nih.gov/funding/opportunities-announcements/clinical-trials-foas/index.shtml ) and should address the following elements: 1) empirical/conceptual basis for the selection of the proximal targets of the implementation strategy, 2) plans for assessing preliminary changes in those proximal targets, and 3) plans for preliminary examination of whether changes in the targets are associated with more distal changes in clinical and functional outcomes that contribute to reducing disparities.
Proposed studies are expected to test models, theories, and conceptual frameworks of the implementation process that account for the available resources of the targeted care settings and the potential for cross-system collaboration(s), using a deployment-focused approach that takes into account the perspective and needs of multiple stakeholders, including end-users. To that end, it may be productive to involve collaborations with and/or input from community partners including: consumers, families, providers, administrators, payers and/or policy-makers to inform the research and help ensure that the ultimate results will have utility. In other words, the tested approaches should be developed with consideration for the realistic constraints in organizational structure, provider availability and training, organizational or provider capacity and other relevant factors specific to the type of under-resourced setting being addressed. Studies should be formulated to contribute generalizable strategies that, if effective, can be rapidly disseminated and implemented across a broad range of real-world settings.
NIMH encourages research that utilizes novel technology to assist in the implementation, fidelity, delivery, and feedback of clinical and organizational processes in the implementation of EBPs (see NOT-MH-18-031 ; Notice of Information: NIMH High-Priority Areas for Research on Digital Health Technology to Advance Assessment, Detection, Prevention, Treatment, and Delivery of Services for Mental Health Conditions). When indicated, strategies should incorporate health information technology (HIT) and electronic health records (EHR) to coordinate care and monitor outcomes.
A variety of methodologically rigorous approaches may be indicated for a future study testing the impact of the implementation strategy being developed, and pilot work should be designed in support of a future study design. Approaches may include randomized controlled trials (RCTs), quasi-experimental designs with non-randomized comparison groups, time series designs, and other designs of equivalent rigor and relevance. Pilot studies should be designed to inform and test the feasibility of the research design for a subsequent, adequately powered test of the implementation strategy (e.g., determining whether randomization is feasible), taking into account practical constraints, ethical issues, and the trade-off between maximizing internal and external validity.
It is anticipated that pilot work funded by this FOA will lead to larger studies that substantially contribute to the development of new, generalizable knowledge regarding strategies to reduce or eliminate disparities in mental health outcomes and functioning. Given this goal, applicants should propose pilot work that clarifies optimal and feasible approaches to measuring disparities reduction, keeping in mind that effectiveness in reducing disparities may be best demonstrated via examination of post-implementation outcomes/effect sizes among underrepresented, under-served individuals in comparison to those achieved in published research in the general population or through comparisons among subgroups. Applicants are strongly encouraged to propose EBP implementation strategies that identify factors that facilitate sustainability (e.g., utilization of existing personnel or realignment of responsibilities to facilitate implementation, effective financing strategies, response to staff turn-over, technological factors, etc.), scalability, and generalizability to other settings or geographic regions.
Areas of interest include, but are not limited to one or more of the following:
Support for full scale studies of the effectiveness of implementation strategies should be submitted via RFA-MH-20-400 .
Applications will be considered non-responsive if they do not address delivery of EBPs for mental disorders, the type of settings and populations described here, or do not conform to NIMH clinical trials requirements .
Potential applicants are strongly encouraged to contact the Scientific/Research contact as far in advance as possible to discuss the match between potential research applications and current NIMH priorities.
Grant: A support mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.
The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types. Only those application types listed here are allowed for this FOA.
Need help determining whether you are doing a clinical trial?
NIMH intends to commit $2,000,000 in FY 2020 to fund successful applications to this and the companion R01 announcement, up to 4-5 awards.
Direct costs are limited to $225,000 per year and $450,000 over the 3-year project period.
Project period cannot exceed three years.
Higher Education Institutions
The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:
Nonprofits Other Than Institutions of Higher Education
For-Profit Organizations
Governments
Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.
Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.
Foreign components, as defined in the NIH Grants Policy Statement, are not allowed.
Applicant organizations
Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.
Program Directors/Principal Investigators (PD(s)/PI(s))
All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.
For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.
This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.
The NIH will not accept duplicate or highly overlapping applications under review at the same time. This means that the NIH will not accept:
The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this FOA. See your administrative office for instructions if you plan to use an institutional system-to-system solution.
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 IC staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:
The letter of intent should be sent to:
Email: [email protected]
All instructions in the SF424 (R&R) Application Guide must be followed.
Research Strategy
Significance:
Describe how the pilot work will inform subsequent studies testing the effectiveness of strategies to deliver evidence-based mental health services, treatment interventions, and/or preventive interventions (EBPs) in low-resource mental health specialty and non- specialty settings within the United States. Provide evidence that EBPs are not currently delivered or delivered with fidelity in the targeted setting(s).
Provide evidence of disparities in mental health and related functional outcomes (e.g., employment, educational attainment, stable housing, integration in the community, treatment of comorbid substance use disorders, etc.) for the population(s) served. Provide evidence that a significant number of children, youth, adults, or older adults with or at risk for mental illnesses can be found in the targeted setting(s).
Describe how the proposed pilot work will contribute to future studies testing of models, theories, and conceptual frameworks of the implementation process that account for the available resources of the targeted care settings and the potential for cross-system collaborations. Describe the elements that contribute to a deployment-focused approach that accounts for the perspective and needs of multiple stakeholders, including end-users, as appropriate (e.g., consumers, families, providers, administrators, payers.) Indicate how the realistic constraints in organizational structure, provider availability and training, organizational or provider capacity or other factors specific to the under-resourced setting are considered in the development of the implementation strategy.
Discuss how the work will lead to generalizable strategies that, if effective, can be rapidly disseminated and implemented across a broad range of real-world settings.
Describe plans for involving collaborations and/or input from community practice partners/providers, consumers, and relevant policy makers to inform the research and help ensure the results will have utility.
Innovation:
Describe if and how approaches to remediate barriers to provision, receipt, or benefit from EBPs are innovative and whether new information about achieving greater equity in mental health for under-served populations will be generated.
Where relevant, describe how novel technology will be utilized to assist in the implementation, fidelity, delivery and feedback of clinical and organizational processes in the implementation of EBPs, along with any use of health information technology (HIT) and electronic health records (EHR).
Approach:
Where appropriate, describe how the developmental work includes: refining details of the implementation approach; examining the feasibility of novel approaches and technologies; examining the feasibility of data collection including administration of instruments; obtaining administrative or other types of data, etc.; enhancing the protocol for the comparison group and randomization procedures (if appropriate); examining the feasibility of recruiting and retaining participants into the study condition(s); and developing and testing supportive materials such as training curricula.
Provide a description of how the data collection will elucidate feasibility, acceptability and engagement of intervention targets is appropriate.
For the EBP to be delivered, identify its focus on: access, quality/fidelity of care delivery, patient/family engagement, care management and coordination, or other innovative strategies as empirically or theoretically justified.
For the implementation strategy, identify the level(s) of the delivery barrier(s) to be addressed: provider-, clinic-, organizational-, within- or cross-systems levels, and how the study design is appropriate to the level.
If indicated, describe how the pilot work will preliminarily assess the feasibility, usability and acceptability of: 1) measuring change in the targeted proximal factors (e.g., consumer- or provider-behaviors, and or organizational-/system level factors); 2) measuring fidelity in delivery of the EBP(s); 3) measuring improvement in clinical and functional outcomes in the populations served; and 4) any other factors that will strengthen the success of a future larger scale.
In addition, the application/scope of work should be formulated following NIMH requirements for clinical trials (see: https://www.nimh.nih.gov/funding/opportunities-announcements/clinical-trials-foas/index.shtml ) and should address the following elements: 1) empirical/conceptual basis for the selection of the proximal targets of the implementation strategy, 2) plans for assessing preliminary changes in those proximal targets, and 3) plans for preliminary examination of whether changes in the targets are associated with more distal changes in clinical and functional outcomes that contribute to reducing disparities.
Describe how the pilot work will support and strengthen the methodology anticipated in the future study. As appropriate, indicate how the pilot study results might inform or bolster the selection of the future research design (e.g., determining whether randomization is feasible), along with consideration of the scientific question being addressed, practical constraints, ethical issues, and the trade-off between maximizing internal and external validity, and the design being used should be justified in the application .
Describe and justify approaches that will be used to examine whether the EB P implementation strategy has potential to reduce disparities and justify the comparison group (e.g., examination of post-implementation outcomes/effect sizes among underrepresented groups vs those reported in the literature, comparisons among subgroups, etc.)
Describe how the EBP implementation strategy being developed incorporates factors that facilitate sustainability (e.g., utilization of existing personnel or realignment of responsibilities to facilitate implementation, effective financing strategies, response to staff turn-over, technological factors, etc.), scalability, and generalizability to other settings or geographic regions.
Provide letters of support from relevant community partners/stakeholders, e.g. letters of support from community practices/providers, policy makers, etc.
The following modifications also apply:
If you answered Yes to the question Are Human Subjects Involved? on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record.
Study Record: PHS Human Subjects and Clinical Trials Information
All instructions in the SF424 (R&R) Application Guide must be followed.
Note: Delayed onset does NOT apply to a study that can be described but will not start immediately (i.e., delayed start).All instructions in the SF424 (R&R) Application Guide must be followed.
See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov
Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday , the application deadline is automatically extended to the next business day.
Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. NIH and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time. If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Policy on Late Application Submission.
Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.
Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.
This initiative is not subject to intergovernmental review.
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement .
Pre-award costs are allowable only as described in the NIH Grants Policy Statement.
Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide. Paper applications will not be accepted.
Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.
For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.
Important reminders:
All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH. See Section III of this FOA for information on registration requirements.
The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.
See more tips for avoiding common errors.
Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review and responsiveness by National Institute of Mental Health , NIH. Applications that are incomplete, non-compliant and/or non-responsive will not be reviewed.
Only the review criteria described below will be considered in the review process. Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.
A proposed Clinical Trial application may include study design, methods, and intervention that are not by themselves innovative but address important questions or unmet needs. Additionally, the results of the clinical trial may indicate that further clinical development of the intervention is unwarranted or lead to new avenues of scientific investigation.
Does the project address an important problem or a critical barrier to progress in the field? Is the prior research that serves as the key support for the proposed project rigorous? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?
Does the application describe how the pilot work will inform subsequent studies testing the effectiveness of strategies to deliver evidence-based mental health services, treatment interventions, and/or preventive interventions (EBPs) in low-resource mental health specialty and non- specialty settings within the United States? Does it provide evidence that EBPs are not currently delivered or delivered with fidelity in the targeted setting(s)?
Does the application provide evidence of disparities in mental health and related functional outcomes (e.g., employment, educational attainment, stable housing, integration in the community, treatment of comorbid substance use disorders, etc.) for the population(s) served? Is there adequate evidence that a significant number of children, youth, adults, or older adults with or at risk for mental illnesses can be found in the targeted setting(s)?
Is it clear that the proposed pilot work will contribute to future studies testing of models, theories, and conceptual frameworks of the implementation process that account for the available resources of the targeted care settings and the potential for cross-system collaborations? Is there a description of the elements that contribute to a deployment-focused approach that accounts for the perspective and needs of multiple stakeholders, including end-users, as appropriate (e.g., consumers, families, providers, administrators, payers)? Does the application indicate how the realistic constraints in organizational structure, provider availability and training, organizational or provider capacity or other factors specific to the under-resourced setting are considered in the development of the implementation strategy?
Is there discussion of how the work will lead to generalizable strategies that, if effective, can be rapidly disseminated and implemented across a broad range of real-world settings?
Are there plans for involving collaborations and/or input from community practice partners/providers, consumers, and relevant policy makers to inform the research and help ensure the results will have utility?
Are the scientific rationale and need for a clinical trial to test the proposed hypothesis or intervention well supported by preliminary data, clinical and/or preclinical studies, or information in the literature or knowledge of biological mechanisms? For trials focusing on clinical or public health endpoints, is this clinical trial necessary for testing the safety, efficacy or effectiveness of an intervention that could lead to a change in clinical practice, community behaviors or health care policy? For trials focusing on mechanistic, behavioral, physiological, biochemical, or other biomedical endpoints, is this trial needed to advance scientific understanding?
Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or those in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?
With regard to the proposed leadership for the project, do the PD/PI(s) and key personnel have the expertise, experience, and ability to organize, manage and implement the proposed clinical trial and meet milestones and timelines? Do they have appropriate expertise in study coordination, data management and statistics? For a multicenter trial, is the organizational structure appropriate and does the application identify a core of potential center investigators and staffing for a coordinating center?
Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?
Does the application describe if and how approaches to remediate barriers to provision, receipt, or benefit from EBPs are innovative and whether new information about achieving greater equity in mental health for underserved populations will be generated?
Where relevant, is there description of how novel technology will be utilized to assist in the implementation, fidelity, delivery and feedback of clinical and organizational processes in the implementation of EBPs, along with any use of health information technology (HIT) and electronic health records (EHR)?
Does the design/research plan include innovative elements, as appropriate, that enhance its sensitivity, potential for information or potential to advance scientific knowledge or clinical practice?
Are the overall strategy, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Have the investigators included plans to address weaknesses in the rigor of prior research that serves as the key support for the proposed project ? Have the investigators presented strategies to ensure a robust and unbiased approach, as appropriate for the work proposed? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed? Have the investigators presented adequate plans to address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects?
Where appropriate, is there description of how the developmental work includes: refining details of the implementation approach; examining the feasibility of novel approaches and technologies; examining the feasibility of data collection including administration of instruments; obtaining administrative or other types of data, etc.; enhancing the protocol for the comparison group and randomization procedures (if appropriate); examining the feasibility of recruiting and retaining participants into the study condition(s); and developing and testing supportive materials such as training curricula?
Does the application describe how the data collection will elucidate feasibility, acceptability and engagement of intervention targets, as appropriate?
For the EBP to be delivered, is its focus identified, e.g.: access, quality/fidelity of care delivery, patient/family engagement, care management and coordination, or other innovative strategies as empirically or theoretically justified?
For the implementation strategy, have the level(s) of the delivery barrier(s) to be addressed been described, e.g., provider-, clinic-, organizational-, within- or cross-systems levels, and how the study design is appropriate to the level?
If indicated, is there a description of how the pilot work will preliminarily assess the feasibility, usability and acceptability of: 1) measuring change in the targeted proximal factors (e.g., consumer- or provider-behaviors, and or organizational-/system level factors); 2) measuring fidelity in delivery of the EBP(s); 3) measuring improvement in clinical and functional outcomes in the populations served; and 4) any other factors that will strengthen the success of a future larger scale?
Is the scope of work formulated to address the following NIMH requirements for clinical trials? Does the application describe the empirical/conceptual basis for the selection of the proximal targets of the implementation strategy? Are there adequate plans for assessing preliminary changes in those proximal targets? Are there adequate plans for preliminary examination of whether changes in the targets are associated with more distal changes in clinical and functional outcomes that contribute to reducing disparities See Clinical Trials FAQs at: https://www.nimh.nih.gov/funding/opportunities-announcements/clinical-trials-foas/index.shtml#faq ?
Is there a description of how the pilot work will support and strengthen the methodology anticipated in the future study? If appropriate, does the application indicate how the pilot study results might inform or bolster the selection of the future research design (e.g., determining whether randomization is feasible), along with consideration of the scientific question being addressed, practical constraints, ethical issues, and the trade-off between maximizing internal and external validity?
Is there a description of how the pilot work clarifies optimal and feasible approaches to measuring disparities reduction? Does the application justify the plans that will be used to examine whether there is preliminary evidence that the EBP implementation strategy has potential to reduce disparities (e.g., examination of post-implementation outcomes/effect sizes among under-represented vs published research in the general, comparisons among subgroups, etc.)?
Is there a description of how the EBP implementation strategy being developed incorporates factors that facilitate sustainability (e.g., utilization of existing personnel or realignment of responsibilities to facilitate implementation, effective financing strategies, response to staff turn-over, technological factors, etc.), scalability, and generalizability to other settings or geographic regions?
If the project involves human subjects and/or NIH-defined clinical research, are the plans to address 1) the protection of human subjects from research risks, and 2) inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion or exclusion of individuals of all ages (including children and older adults)?
Does the application adequately address the following, if applicable
Study Design
Is the study design justified and appropriate to address primary and secondary outcome variable(s)/endpoints that will be clear, informative and relevant to the hypothesis being tested? Is the scientific rationale/premise of the study based on previously well-designed preclinical and/or clinical research? Given the methods used to assign participants and deliver interventions, is the study design adequately powered to answer the research question(s), test the proposed hypothesis/hypotheses, and provide interpretable results? Is the trial appropriately designed to conduct the research efficiently? Are the study populations (size, gender, age, demographic group), proposed intervention arms/dose, and duration of the trial, appropriate and well justified?
Are potential ethical issues adequately addressed? Is the process for obtaining informed consent or assent appropriate? Is the eligible population available? Are the plans for recruitment outreach, enrollment, retention, handling dropouts, missed visits, and losses to follow-up appropriate to ensure robust data collection? Are the planned recruitment timelines feasible and is the plan to monitor accrual adequate? Has the need for randomization (or not), masking (if appropriate), controls, and inclusion/exclusion criteria been addressed? Are differences addressed, if applicable, in the intervention effect due to sex/gender and race/ethnicity?
Are the plans to standardize, assure quality of, and monitor adherence to, the trial protocol and data collection or distribution guidelines appropriate? Is there a plan to obtain required study agent(s)? Does the application propose to use existing available resources, as applicable?
Data Management and Statistical Analysis
Are planned analyses and statistical approach appropriate for the proposed study design and methods used to assign participants and deliver interventions? Are the procedures for data management and quality control of data adequate at clinical site(s) or at center laboratories, as applicable? Have the methods for standardization of procedures for data management to assess the effect of the intervention and quality control been addressed? Is there a plan to complete data analysis within the proposed period of the award?
Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?
If proposed, are the administrative, data coordinating, enrollment and laboratory/testing centers, appropriate for the trial proposed?
Does the application adequately address the capability and ability to conduct the trial at the proposed site(s) or centers? Are the plans to add or drop enrollment centers, as needed, appropriate?
If international site(s) is/are proposed, does the application adequately address the complexity of executing the clinical trial?
If multi-sites/centers, is there evidence of the ability of the individual site or center to: (1) enroll the proposed numbers; (2) adhere to the protocol; (3) collect and transmit data in an accurate and timely fashion; and, (4) operate within the proposed organizational structure?
Study Timeline
Is the study timeline described in detail, taking into account start-up activities, the anticipated rate of enrollment, and planned follow-up assessment? Is the projected timeline feasible and well justified? Does the project incorporate efficiencies and utilize existing resources (e.g., CTSAs, practice-based research networks, electronic medical records, administrative database, or patient registries) to increase the efficiency of participant enrollment and data collection, as appropriate?
Are potential challenges and corresponding solutions discussed (e.g., strategies that can be implemented in the event of enrollment shortfalls)?
For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.
For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.
When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.
The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following criteria: (1) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.
Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.
For Resubmissions, the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.
Not Applicable
Not Applicable
Not Applicable
Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).
Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: (1) Data Sharing Plan;
For projects involving key biological and/or chemical resources, reviewers will comment on the brief plans proposed for identifying and ensuring the validity of those resources.
Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by National Institute of Mental Health , in accordance with NIH peer review policy and procedures, using the stated review criteria. Assignment to a Scientific Review Group will be shown in the eRA Commons.
Information regarding the disposition of applications is available in the NIH Grants Policy Statement.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.
Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.
Any application awarded in response to this FOA will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website.
Individual awards are based on the application submitted to, and as approved by, the NIH and are subject to the IC-specific terms and conditions identified in the NoA.
ClinicalTrials.gov: If an award provides for one or more clinical trials. By law (Title VIII, Section 801 of Public Law 110-85), the "responsible party" must register and submit results information for certain applicable clinical trials on the ClinicalTrials.gov Protocol Registration and Results System Information Website (https://register.clinicaltrials.gov). NIH expects registration and results reporting of all trials whether required under the law or not. For more information, see https://grants.nih.gov/policy/clinical-trials/reporting/index.htm
Institutional Review Board or Independent Ethics Committee Approval: Grantee institutions must ensure that all protocols are reviewed by their IRB or IEC. To help ensure the safety of participants enrolled in NIH-funded studies, the awardee must provide NIH copies of documents related to all major changes in the status of ongoing protocols. Data and Safety
Monitoring Requirements: The NIH policy for data and safety monitoring requires oversight and monitoring of all NIH-conducted or -supported human biomedical and behavioral intervention studies (clinical trials) to ensure the safety of participants and the validity and integrity of the data. Further information concerning these requirements is found at http://grants.nih.gov/grants/policy/hs/data_safety.htm and in the application instructions (SF424 (R&R) and PHS 398).
Investigational New Drug or Investigational Device Exemption Requirements: Consistent with federal regulations, clinical research projects involving the use of investigational therapeutics, vaccines, or other medical interventions (including licensed products and devices for a purpose other than that for which they were licensed) in humans under a research protocol must be performed under a Food and Drug Administration (FDA) investigational new drug (IND) or investigational device exemption (IDE).
Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights law. This means that recipients of HHS funds must ensure equal access to their programs without regard to a person’s race, color, national origin, disability, age and, in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency. HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research.
In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a Federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 Federal awarding agency review of risk posed by applicants. This provision will apply to all NIH grants and cooperative agreements except fellowships.
For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this FOA. HHS provides general guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/index.html. The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-rights/for-individuals/section-1557/index.htmlhttps://www.hhs.gov/civil-rights/for-providers/laws-regulations-guidance/index.html. Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see https://www.hhs.gov/civil-rights/for-individuals/disability/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697. Also note it is an HHS Departmental goal to ensure access to quality, culturally competent care, including long-term services and supports, for vulnerable populations. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.
In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period. The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS). This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 Award Term and Conditions for Recipient Integrity and Performance Matters.
Finding Help Online: http://grants.nih.gov/support/ (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)
General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources)
Email: [email protected] (preferred method of contact)
Telephone: 301-945-7573
Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace)
Contact Center Telephone: 800-518-4726
Email: [email protected]
Denise Juliano-Bult, M.S.W.
National Institute of Mental Health (NIMH)
Telephone: 301-443-1638
Email: [email protected]
Nick Gaiano, Ph.D.
National Institute of Mental Health (NIMH)
Telephone: 301-827-3420
Email: [email protected]
Tamara Kees
National Institute of Mental Health (NIMH)
Telephone: 301-443-8811
Email: [email protected]