BEHAVIORAL SCIENCE TRACK AWARD FOR RAPID TRANSITION (B/START) Release Date: July 11, 2000 (see addendum NOT-MH-01-004) PA NUMBER: PAR-00-119 (see replacement PAR-04-010) National Institute of Mental Health THIS PA USES "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. THIS PA INCLUDES DETAILED MODIFICATIONS TO STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED WHEN PREPARING AN APPLICATION IN RESPONSE TO THIS PA. PURPOSE This is a reissuance of PAR-94-002, which was issued in October 1993, and is hereby withdrawn. This reissuance will become effective as of the October 1, 2000, receipt date, and will remain in effect until October 1, 2003, unless reissued. The National Institute of Mental Health (NIMH), through the issuance of this Program Announcement (PA), intends to facilitate the entry of new investigators into the field of behavioral science research. NIMH invites newly independent investigators to submit applications for small-scale exploratory or pilot research projects related to the behavioral science mission of the NIMH. This includes basic research on psychological and behavioral processes (e.g., cognition, emotion, personality, interpersonal interaction, social cognition), research incorporating neural and other biological approaches if the research has a primary focus on behavior, research on mental illness (risk factors, diagnosis, treatment, and prevention), and research on mental health services (e.g., organization, financing, delivery, and effectiveness; psychosocial rehabilitation, adherence). Funding of B/START awards is relatively rapid, i.e., within approximately six months of the date of receipt of the application. HEALTHY PEOPLE 2010 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a PHS-led national activity for setting priority areas. This Program Announcement, Behavioral Science Track Award for Rapid Transition, is related to the priority area of Mental Health and Mental Disorders. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople. 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 a B/START award. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as principal investigators. To be eligible for a B/START award, the proposed Principal Investigator must be independent of a mentor at the time of award, but be at the beginning stages of his/her research career (typically not more than five years from receipt of the doctorate or, if applicable, from the end of postdoctoral training). If the applicant is in the final stages of training, s/he may apply, but no B/START award will be made to individuals in training status. The proposed Principal Investigator may not have been designated previously as Principal Investigator on any PHS-supported research or career grant (except a dissertation research grant) or have received similar support from another federal agency, e.g., the National Science Foundation. Previous receipt of National Research Service Award (NRSA) funds (i.e., Institutional Training Grant or Individual Fellowship) is permissible. MECHANISM OF SUPPORT This PA will use the National Institute of Mental Health (NIMH) Small Grant (R03) award mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. The total project period for an application submitted in response to this PA may not exceed one year. The total direct costs for the project may not exceed $50,000. Grant funds may be used for expenses clearly related and necessary to conduct the research project, including both direct costs that can be specifically identified with the project and allowable facilities and administrative (F&A) costs of the institution. Replacement of the Principal Investigator on a B/START award is not permitted. Transfer of a B/START award with the Principal Investigator to another institution for the remainder of the grant period may be requested. B/START awards are not renewable. If a B/START application is unsuccessful in obtaining funding on the first submission, it may be revised (amended) and resubmitted one time. Additional revision and resubmission of a B/START application is not permitted. For all competing R03 applications, specific application instructions have been modified to reflect MODULAR GRANT and JUST-IN-TIME streamlining efforts being undertaken at NIH. More detailed information about modular grant applications, including a sample budget, narrative justification pages, and a sample biographical sketch, is available via the Internet at: http://grants.nih.gov/grants/funding/modular/modular.htm. Because B/START grants have special eligibility requirements, application formats, and review criteria, applicants are strongly encouraged to consult with program staff (listed under INQUIRIES) prior to submitting an application. There are alternative mechanisms of support for individuals interested in pursuing periods of supervised training and career development activities. Such individuals are encouraged to consider applying for NIMH individual postdoctoral fellowships or NIMH mentored career development awards. Additional information regarding Institute-wide training initiatives and support mechanisms can be found at http://www.nimh.nih.gov/grants/training.cfm. RESEARCH OBJECTIVES Research areas relevant for support by NIMH can be found at the following URL address: http://www.nimh.nih.gov/grants/program_contact.cfm. To be appropriate for a B/START award, research in these areas must, in addition, be primarily focused on behavioral processes and research questions. That is, research on neural, genetic, or other biological processes would be appropriate for a B/START award only if its overall emphasis were on understanding behavioral processes or outcomes. Examples of the latter include individual mental function (e.g., cognition, emotion, personality); social interaction; developmental and environmental influences on behavior; risk, treatment, and prevention of mental disorder; psychosocial rehabilitation; adherence; and the organization, financing, and delivery of mental health services. 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: http://grants.nih.gov/grants/guide/notice-files/not94-100.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: http://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. URLS IN NIH GRANT APPLICATIONS OR APPENDICES All applications and proposals for NIH funding must be self-contained within specified page limitations. Unless otherwise specified in an NIH solicitation, internet addresses (URLs) should not be used to provide information necessary to the review because reviewers are under no obligation to view the Internet sites. Reviewers are cautioned that their anonymity may be compromised when they directly access an Internet site. APPLICATION PROCEDURES Prior to submitting an application, investigators are strongly encouraged to contact the program contacts listed under INQUIRIES in order to assess the responsiveness of their proposed project to the mission of NIMH and to the goals of this PA. Applications judged not to be responsive or not appropriately focused on mental health relevant behavioral processes and research questions (as addressed in PURPOSE and RESEARCH OBJECTIVES) may be returned to the applicant without review. Applications are to be submitted on the grant application form PHS 398 (rev. 4/98) and will be accepted at the standard application deadlines as indicated in the application kit. Application kits are available at most institutional offices of sponsored research and from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone (301) 435-0714, Email: GrantsInfo@nih.gov. Applications are also available on the World Wide Web at: http://grants.nih.gov/grants/forms.htm. SPECIAL INSTRUCTIONS FOR A B/START APPLICATION o The number and title of the program announcement (PAR-00-119, NIMH B/START) must be typed in Item 2 on the face page of the application and the YES box must be checked. o Sections a-d of the Research Plan must not exceed seven pages in total. o Color/glossy photos may be submitted as an appendix, however, the appendix may not be used to circumvent the page limitation. In all other respects, applications must meet the conditions set out in form PHS 398 (rev. 4/98). SPECIFIC APPLICATION INSTRUCTIONS FOR MODULAR GRANTS 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 Applicants may request up to two modules of $25,000 direct costs each. 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 and Total Costs [Modular Total Direct plus Facilities and Administrative (F&A) costs] for the one-year budget period. 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 http://grants.nih.gov/grants/funding/modular/modular.htm for sample pages.) At the top of the page, enter the total direct costs requested. 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. o 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. Include the Letter of Intent to establish a consortium. 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. A sample biographical sketch may be viewed at: http://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. 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. Applications not conforming to these guidelines will be considered unresponsive to this PA and will be returned without further review. Submit a signed, typewritten original of the application, including the Checklist, and three signed photocopies in one package 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) Telephone: (301) 435-0714 To permit an expedited review of the application, applicants must simultaneously send two complete copies to: Henry J. Haigler, Ph.D. Referral Liaison Officer NIH/NIMH Division of Extramural Activities 6001 Executive Boulevard Room 6154, MSC 9609 Bethesda, MD 20892-9609 Rockville, MD 20852 (for express/courier service) Telephone: (301) 443-4334 REVIEW CONSIDERATIONS Applications will be evaluated for scientific and technical merit by an appropriate scientific review group convened by NIMH in accordance with the standard NIH peer review procedures. As part of the initial merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed, assigned a priority score, and receive a second level review by the appropriate national advisory council or board. 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 comments reviewers will be asked to discuss the following aspects of the application 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 assigning the overall score, weighting them as appropriate for each application. Note that the application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward. (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 methods? 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) Relevance of the project to the mission of the NIMH. (7) Appropriateness of the project to the goals of the B/START program. Review criteria also include: the appropriateness of proposed project budget and duration; the adequacy of plans to include both genders, minorities and their subgroups, and children as appropriate for the scientific goals of the research and plans for the recruitment and retention of subjects; the provisions for the protection of human and animal subjects; and the safety of the research environment. AWARD CRITERIA The following will be considered in making funding decisions: Quality of the proposed project as determined by peer review, appropriateness to the goals of the B/START program, availability of funds, and program priority. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Mary Ellen Oliveri, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7220, MSC 9651 Bethesda, MD 20892-9651 Telephone: (301) 443-3942 FAX: (301) 443-9876 E-mail: moliveri@nih.gov Emeline M. Otey, Ph.D. Division of Mental Disorders, Behavioral Research & AIDS National Institute of Mental Health 6001 Executive Boulevard, Room 6186, MSC 9625 Bethesda, MD 20892-9625 Telephone: (301) 443-3728 FAX: (301) 443-4611 E-mail: eotey@nih.gov Enid Light, Ph.D. Division of Services and Intervention Research National Institute of Mental Health 6001 Executive Boulevard, Room 7160, MSC 9635 Bethesda, MD 20892-9635 Telephone: (301) 443-1185 FAX: (301) 594-6784 E-mail: elight@nih.gov 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 20892-9605 Telephone: (301) 443-2805 FAX: (301) 443-6885 Email: Diana_Trunnell@nih.gov 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. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use 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, and 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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