GRANTS FOR HEALTH SERVICES DISSERTATION RESEARCH Release Date: September 15, 1998 PA NUMBER: PAR-98-111 P.T. Agency for Health Care Policy and Research Application Receipt Dates: May 5; November 15 (Annually) PURPOSE The Agency for Health Care Policy and Research (AHCPR) announces its continued interest in supporting the Health Services Dissertation Research small grant program. This program supports research undertaken as part of an academic program to qualify for a doctorate. AHCPR supports and conducts research to improve the outcomes, quality, access to, and cost and utilization of health care services. AHCPR achieves this mission through health services research designed to (1) improve clinical practice, (2) improve the health system's ability to provide access to and deliver high quality, high-value health care, and (3) provide policy makers with the ability to assess the impact of system changes on outcomes, quality, access, cost and use of health care services. AHCPR programs and products are designed to be responsive to the needs of consumers, patients, clinicians, and other providers, institutions, plans, purchasers, and public and private policy makers at all levels for evidence-based information they may need to improve quality and outcomes, control costs, and ensure access to needed services. AHCPR will accept applications from students seeking a doctorate in areas relevant to health services research. This program announcement describes the procedures and criteria for the program. It updates and supersedes "Grants for Health Services Dissertation Research," PAR-96-016, published in the NIH Guide, January 26, 1996. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. AHCPR encourages applicants to submit grant applications with relevance to the 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 202-512-1800. Nondiscrimination The AHCPR Dissertation program is conducted in compliance with applicable laws that provide that no person shall, on the grounds of race, color, national origin, sex, disability, or age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination. Applicant organizations are required to have appropriate Assurance of Compliance forms filed with the Office of Civil Rights, Office of the Secretary, DHHS before a grant may be made to that institution. The Research Education Division, Office of Research Review, Education, and Policy (ORREP), should be contacted with any questions concerning compliance (See INQUIRIES). ELIGIBILITY REQUIREMENTS To qualify for an award under this program the student (Principal Investigator) must be enrolled in an accredited doctoral degree program in the social, economic, management, medical, or health sciences that requires a dissertation based on original research. To be eligible, the dissertation must be a major part of the training program and be in an area of interest to AHCPR with demonstrated relevance to the delivery of health care in the United States. All requirements for the doctoral degree, other than the dissertation and the notification that the dissertation faculty committee has approved the dissertation proposal(See Special Instructions under APPLICATION PROCEDURES for details), must be completed by award date. The applicant may be either a public or private nonprofit institution that will administer the grant on behalf of the proposed Principal Investigator or the proposed Principal Investigator who may apply as an individual. A proposed Principal Investigator for dissertation research grant support must be a registered doctoral candidate in resident or non resident status. An investigator who is not a U.S. citizen and does not have a permanent resident visa must apply through a public or private nonprofit institution. AHCPR will make the final determination of eligibility for support. A dissertation research grant is usually awarded for 12 months or less, but may be awarded for up to 17 months. The applicant is expected to devote a minimum of 40 hours per week on dissertation work. Clinical or other professional pursuits in addition to work on the dissertation should not exceed 12 hours per week. An investigator who receives support for dissertation research under a grant from the AHCPR may not simultaneously receive support under a predoctoral program training grant, an individual fellowship grant, or any other dissertation grant awarded by AHCPR or any other agency of the U.S. Department of Health and Human Services. Other current or pending sources of support should be explicitly listed. Awards are usually announced no earlier than four months after receipt of the application. MECHANISM OF SUPPORT This Program Announcement (PA) will employ the small research grant (R03) mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the proposed Principal Investigator (the doctoral candidate). The total direct costs must not exceed $30,000 for the entire project period. AHCPR will return without review any application that exceeds this amount to the applicant. No supplemental funds will be awarded. The proposed Principal Investigator may request support only for the time necessary to complete the dissertation. RESEARCH OBJECTIVES Through the Dissertation Research Grant Program AHCPR seeks to expand the number of researchers who conduct health services research in areas identified in the "AHCPR Health Services Research Program Announcement published in the NIH Guide on March 26, 1998. The PA outlines broad research interests in the following areas: 1) Health outcomes at the clinical and system levels; 2) Quality measurement and improvement including the use of evidence-based practice information and tools; and 3) Organization, financing, and delivery of health care and the characteristics of primary care practices with emphasis on improved access, fostering appropriate use, and the reduction of unnecessary expenditures. A special focus is on health issues related to priority populations including minority populations, women, and children. The PA also identifies two additional areas that are becoming increasingly important - methodologic advances in health services research especially cost-effectiveness analysis, and ethical issues across the spectrum of health care delivery. Applicants who have questions regarding the relevance of their research topics to AHCPR goals should contact by telephone, E-mail or letter staff listed under INQUIRIES. Applications judged by staff to be non-responsive to this program announcement will be returned without review. SPECIAL REQUIREMENTS Allowable Costs Expenses allowed under the AHCPR Health Services Dissertation Research program follow the guidelines described in the Application for a Department of Health and Human Services Grant (DHHS). Allowable costs include the following: the investigator's salary; direct project expenses such as travel, data purchasing, data processing, and supplies. 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. Although all of the above costs are allowable the following guidelines should be followed: o No salary support will be given for the dissertation committee. o All data costs are to be included in the $30,000 total direct cost limit of the solicitation. o Travel costs are allowable for one professional conference. o PC and statistical consultant service costs at a level not to exceed 80 hours are allowable. o Support for a research assistant is generally not permitted. In rare circumstances it may be approved if the justification is acceptable to AHCPR staff. Applicants applying through institutions receive facilities and administrative (F&A) costs in addition to the direct costs of the project. For calculating F&A costs, dissertation research grants are considered training grants. Therefore, according to DHHS policy, the institution will receive F&A costs based solely on 8 percent of the total allowable direct costs exclusive of: tuition and related fees; health insurance; and expenditures for equipment. Other Conditions The following conditions apply to dissertation grants: o A Principal Investigator 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 Principal Investigator or on its own initiative. o The dissertation and an Executive Summary of it 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. Two copies of the dissertation must be submitted to the AHCPR. o The dissertation and all financial status reports must be submitted in English. o The grantee is encouraged to report all publications resulting from the grant to AHCPR even after completion of the grant. Further, the grantee should cite AHCPR support in publications resulting from the dissertation grant. AHCPR DATA AHCPR encourages research applications that will use data from the Medical Expenditure Panel Survey (MEPS), the Healthcare Cost and Utilization Project (HCUP), and other AHCPR data. The MEPS is a rich data source for health care utilization, expenditure, and insurance information, directly linking data about persons and their families with information obtained from their employers, insurers, and health care providers. It is the third in a series of nationally representative surveys of medical care use and expenditures in the U.S. The 1996 MEPS updates previous survey data to reflect the changes that have occurred over the past decade. MEPS collects data on the specific health services that Americans use, how frequently they use them, the cost and source of payment for services, and information on the types and costs of private health insurance held by and available to the U.S. population. It provides a foundation for estimating the impact of changes in sources of payment and insurance coverage on different economic groups or special populations of interest, such as the poor, elderly, uninsured, and racial and ethnic minorities. Some data from the Household and Nursing Home Components of the 1996 MEPS became available for use by researchers beginning in March 1997. The release schedule for other data through calendar year 1998 is available from the MEPS section of the AHCPR Web site (See below). The HCUP includes two data bases covering 1988-1995 with 1996 data available in early 1999. These all-payer databases were created through a Federal-state-industry partnership to build a multi state health care data system. Both data bases contain patient-level information for inpatient hospital stays in a uniform format with privacy protections. The Nationwide Inpatient Sample (NIS) is a national sample of about 900 hospitals. The State Inpatient Database (SID), available from the partner states, contains inpatient records for all community hospitals in 17 states, and ambulatory surgery data from five states. These data bases can be directly linked to county-level data from the Health Resources and Services Administration's Area Resource File and to hospital-level data from the Annual Survey of the American Hospital Association. Information on MEPS AND HCUP-3 is available from the Data and Methods section of the AHCPR Web site, and AHCPR staff (See INQUIRIES). CONDITIONS OF AWARD Data Privacy Information obtained in the course of AHCPR supported projects that identifies an individual or entity must be treated as confidential in accordance with section 903(c) of the Public Health Service Act. Rights in Data AHCPR grantees may copyright or seek patents, as appropriate, for final and interim products and materials including, but not limited to, methodological tools, measures, software with documentation, literature searches, and analyses, which are developed in whole or in part with AHCPR funds. Such copyrights and patents are subject to a Federal Government license to use and permit others to use these products and materials for AHCPR purposes. AHCPR purposes may include, subject to statutory confidentiality protection, making research materials, data bases, and algorithms available for verification or replication by other researchers; and subject to budget constraints, final products may be made available to the health care community and the public by AHCPR, or its agents, if such distribution would significantly increase access to a product and thereby produce public health benefits. Ordinarily, to accomplish distribution, AHCPR publishes research findings but relies on grantee efforts to market grant-supported products. In keeping with AHCPR's legislative mandates to make both research results and data available, copies of all products and materials developed under a grant supported in whole or in part by AHCPR funds are to be made available to AHCPR promptly and without restriction, upon request by AHCPR. INCLUSION OF WOMEN, MINORITIES, AND CHILDREN IN RESEARCH STUDY POPULATIONS INVOLVING HUMAN SUBJECTS It is the policy of AHCPR that women and members of minority groups should be included in all AHCPR-supported 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. All investigators proposing research involving human subjects should read the "NIH Guidelines on the Inclusion of Women and Minorities as Subjects in Clinical Research," which was published in the Federal Register of March 28, 1994 (FR 59 14508-14513), and in the NIH GUIDE FOR GRANTS AND CONTRACTS of March 18, 1994. AHCPR follows the NIH Guidelines, as applicable. Investigators may obtain copies from the AHCPR contractor, Equals Three Communications, Inc., listed under INQUIRIES. AHCPR also encourages investigators to consider including children in study populations, as appropriate. AHCPR announced in the NIH Guide of May 9, 1997, that it is developing a policy and implementation plan on the inclusion of children in health services research. This Notice is available through the AHCPR Web site http://www.ahcpr.gov (Funding Opportunities) and InstantFAX (see instructions under INQUIRIES). AHCPR program staff may also provide information concerning these policies (See INQUIRIES). APPLICATION PROCEDURES The application receipt dates are May 5 and November 15 annually. Applications will be eligible for support only during the round for which they are submitted. AHCPR will notify the applicant if a decision to defer to a subsequent round is made. No application can be submitted more than once, even in revised form. An application that does not conform to the instructions provided in this PA will be returned to the applicant without review. Applicants are to use the research grant application form PHS 398 (rev. 5/95) in applying for these grants. State and local government applicants may use form PHS-5161-1, Application for Federal Assistance (rev. 5/96), and follow those requirements for copy submission. However, some instructions found in these forms are superseded by special instructions for this PA as outlined below. Application kits are available at most institutional offices of sponsored research. They may also be obtained from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/710-0267, Email: GrantsInfo@nih.gov. AHCPR applicants can also obtain application materials from the AHCPR contractor: Equals Three Communications, Inc., 7910 Woodmont Avenue, Suite 200, Bethesda, MD 20814-3015; telephone 301/656-3100 or FAX 301/652-5264. The PA title and number must be typed on line two of the face page of the application form and the YES box must be marked. 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 At the time of submission two copies additional copies of the application must be sent to: Scientific Review Division Office of Research Review, Education and Policy Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 400 Rockville, MD 20852-4908 Special Instructions The proposed Principal Investigator for a dissertation grant is encouraged to have the application administered through an institution whenever feasible. This may be either the degree-granting institution or another nonprofit institution with which the proposed Principal Investigator 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. In addition to the instructions in the 398 form the following special instructions should be followed: o The graduate student should be identified as the Principal Investigator; o The section entitled Research Plan may not exceed 20 pages; o A questionnaire may be included as an appendix if it is essential to evaluate the proposal; o A list of literature cites is required. The citations are counted as part of the page limit; o Ideally, a letter from the faculty committee or the university official directly responsible for supervising the dissertation research should be submitted with the grant application. The letter should certify that: (1) the dissertation faculty committee has approved the dissertation proposal; (2) the grant application represents the dissertation proposal; and (3) the applicant will complete all requirements for the doctoral degree, except the dissertation, at time of award. However, in rare instances the dissertation faculty committee may not have had an opportunity to formally approve the dissertation proposal prior to the dissertation grant application submission deadline. In such instances, the application should still be accompanied by a letter from the faculty advisor or dissertation chair. This letter should note that: (1) the advisor or chairperson is confident that the dissertation faculty review committee will approve the dissertation proposal; (2) the grant application will coincide with the actual dissertation project to be reviewed and approved by the dissertation faculty committee; and (3) the applicant will have completed all requirements for the doctoral degree, except the defense of the dissertation proposal and the actual dissertation. The certification of the dissertation proposal's defense and acceptance, signed by the faculty advisor or dissertation chair, should be received by the Scientific Review Division, ORREP no later than 8 weeks after the dissertation application deadline submission date. In cases where the dissertation faculty committee review results in a modification to the methodological design or substantive scope of the project, the application must be withdrawn, but can be resubmitted for the subsequent dissertation application round with the changes incorporated. o Section C of the application should be used as an extension of the literature review or publications of the faculty committee as they relate to this research. o The application must identify all members of the faculty committee by listing the names on Form BB. A brief biographical sketch for each should be provided as explained in form PHS 398, page FF. o Applicants should give special attention to the sections of the application dealing with human subjects protection and gender and minority representation. For those projects involving human subjects or individually identifiable data, IRB approval at the time of application submission is expected. REVIEW CONSIDERATIONS Upon receipt, staff will review applications for completeness and relevance to the AHCPR mission. Incomplete applications and applications proposing research in areas outside the mission of the Agency will be returned to the applicant without further consideration. Applications that are complete will be evaluated for scientific and technical merit by an appropriate peer review group convened in accordance with AHCPR peer review procedures. As part of the initial merit review, all applications will receive a written critique, and also may undergo a process in which only those applications deemed to have the highest scientific merit will be discussed. General Review Criteria Review criteria for grant applications are: significance and originality from a scientific or technical viewpoint; adequacy of the method(s); availability of data or adequacy of the proposed plan to collect data required for the project; adequacy and appropriateness of the plan for organizing and carrying out the project; qualifications and experience of the Principal Investigator; reasonableness of the proposed budget and the time frame for the project in relation to the work proposed; adequacy of the facilities and resources available to the applicant; the extent to which women, minorities, and if applicable children, are adequately represented in study populations; and as applicable, the adequacy of the proposed means for protecting human subjects. In evaluating the above criteria, strong emphasis is placed on the reviewers' assessment of the applicant's potential as a future contributor to health services research and the caliber of their support structure to provide necessary guidance. Summary Statements on applications are prepared by AHCPR staff using the comments of the reviewers, and are generally completed and provided to the applicant within 14 weeks of receipt of applications. AWARD CRITERIA AHCPR sets aside funds each fiscal year for the Dissertation Research Program. Applicants compete for awards with other applications submitted for this program. Factors that influence the final funding decisions on applications for support of dissertations include: reviewers' evaluation of the application; the potential of the applicant to contribute to the field; program balance and the availability of funds. The earliest anticipated date of an award will generally be four months after the due date of the application. INQUIRIES Written and telephone inquiries concerning this PA are encouraged. Copies of this PA are available from: Equals Three Communications, Inc. 7910 Woodmont Avenue, Suite 200 Bethesda, MD 20814-3015 Telephone: (301) 656-3100 FAX: (301) 652-5264 The PA is available on AHCPR's Web site http://www.ahcpr.gov (Funding Opportunities) and through AHCPR InstantFAX at 301/594-2800. To use InstantFAX, you must call from a facsimile (FAX) machine with a telephone handset. Follow the voice prompt to obtain a copy of the InstantFAX table of contents, which has the document order number (not the same as the PA number). The PA will be sent at the end of the ordering process. AHCPR InstantFAX operates 24 hours a day, 7 days a week. For questions about this service, call Judy Wilcox, Office of Health Care Information, at 301/594-1364, ext. 1389. AHCPR welcomes the opportunity to clarify any issues or questions from potential applicants. Direct inquiries regarding programmatic issues, including information on the inclusion of women, minorities, and children in study populations, to: Research Education Division Office of Research, Review, Education, and Policy Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 400 Rockville, MD 20852-4908 Telephone: (301) 594-1452 Email: Training@AHCPR.gov Direct inquiries regarding fiscal matters to: Al Deal Grants Management Specialist Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 601 Rockville, MD 20852-4908 Telephone: (301) 594-1447, ext. 1170 FAX: (301) 594-3210 Email: Adeal@ahcpr.gov Inquiries Concerning Data Sources: MEPS Household Component Nancy Krauss Center for Cost and Financing Studies Telephone: (301) 594-1406, ext 1489 Email: nkrauss@ahcpr.gov MEPS Nursing Home Component Jeffrey Rhodes Center for Cost and Financing Studies Telephone: (301) 594-1407, ext 1473 Email: jrhodes@ahcpr.gov HCUP-3 Kelly Carper Telephone: (301) 594-1406, ext 1520 Email: kcarper@ahcpr.gov Email: hcupnis@ahcpr.gov Email: hcupsid@ahcpr.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance Numbers 93.180 and 93.226. Awards are made under authorization of Title IX of the Public Health Service Act (42 U.S.C. 299-299c-6) and Section 1142 of the Social Security Act (42 U.S.C. 1320b-12) as applicable. Awards are administered under the PHS Grants Policy Statement and Federal regulations 42 CFR 67, Subpart A, and 45 CFR Parts 74 and 92. 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, any portion of a facility) in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.
Return to NIH Guide Main Index
Office of Extramural Research (OER) |
National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892 |
Department of Health and Human Services (HHS) |
||||||||
Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files. |