NIH Small Research Grant (R03) Program Announcement


Applications in response to this PA are limited to 1 year in duration (but with an allowable 1 year no cost extension) and a maximum of $50,000 in direct costs. There is NO restriction on salary support for the PI. The full text follows:


NIH GUIDE - Vol. 26, No. 3 - January 31, 1997

National Institute on Aging


The National Institute on Aging (NIA) is seeking small grant (R03) applications to: 1) stimulate and facilitate secondary analyses of data related to the demography and economics of aging; 2) provide support for pilot projects that could lead to subsequent applications for individual research awards; and 3) provide support for rapid analyses of new databases (including experimental modules) for the purpose of informing the design and content of future waves.


The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This program announcement, Small Research Grant Program: Secondary Analysis in Demography and Economics of Aging, is related to several priority areas including chronic disabling conditions. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-11474-0) or "Healthy People 2000" (Summary Report: Stock No. 017-001-11473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238).


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 organizations and institutions are not eligible. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as principal investigators. Participation in the program by investigators at minority institutions is strongly encouraged. Applications from new investigators and researchers new to aging are particularly encouraged.


Applicants may request up to $50,000 (direct costs) for one year through the small grant (R03) mechanism. However, the grants will be awarded under Expanded Authorities and are eligible for a single one-year no cost extension. These awards are not renewable. If applicable, before completion of the R03, investigators are encouraged to seek continuing support for research through individual research awards. Replacement of the Principal Investigator on this award is not permitted.


Approximately $1,000,000 will be available to fund approximately 15-20 small grants, contingent on high scientific merit and program priorities.


The Small Grant program is designed to: support researchers interested in undertaking secondary analyses of data related to the demography and economics of aging; provide support for pilot projects that could lead to subsequent applications for individual research awards; and provide support for rapid analyses of new databases (including experimental modules) for the purpose of informing the design and content of future waves. International comparative analyses are permitted where relevant. New data collection involving human subjects is not permitted. Applications which are innovative and "high risk" with the likelihood for "high gain" are especially encouraged.


- Biodemography of aging (e.g. the interface between demography of aging and the biological sciences, population genetics, evolutionary theory, and modeling of senescence). Topics of interest include: large populations observed under controlled conditions; the influence of genetics on age-specific mortality rates; the population effects of genetic indicators of disease; precedents in nature for aging and intergenerational exchange; and population dynamics

- Medical demography of aging, mortality, chronic diseases and functioning in late life and at extreme old ages (including centenarians); trends in chronic disease and disability and associated factors (e.g. early life experiences, education, Medicare); disability dynamics; family cascades of chronic disease; forecasting life and active life expectancy, health, medical services and long term care usage

- Evaluations and simulations of the impact of changes in DHHS and SSA policies (e.g. Medicare, Medicaid, and Social Security benefits) on the health, disability and well-being of the older population

- Health, work and retirement, including: determinants of retirement, family labor supply, and saving; consequences of retirement for health and well-being; comparative studies of labor force activity; effects of psychological factors (e.g. expectations, personality) and mental health characteristics (e.g. depression) on economic behaviors (e.g. altruistic or precautionary saving for old age); employer- and organizational-level determinants of labor force participation at older ages

- Interactions between health and economic status over time; improved measures of socioeconomic position for aging populations; racial and ethnic differentials in the trajectories of health and disability

- Costs and impact of aging-related illnesses and disabilities; use of public and private resources in the period before death; economic determinants of health promotion and disease prevention behaviors

- Demography and economics of Dementia and Alzheimer's Disease, and of AIDS in older populations

- General demographic analyses of population aging, including: the aging of the babyboom cohort; immigration, immigrants and aging; the impact of state and small area characteristics on health; improved descriptive analyses of centenarian populations; macro and micro dynamics of intergenerational exchanges; and comparative international analyses using Census and other data

- Analyses and simulations of the epidemiological transition in the global burden of disease and disability in developing countries

- Influence of age, medical condition and functional disability on transportation options

Investigators are especially encouraged to undertake secondary analyses of existing datasets supported by the NIA which are already in the public domain. These include, but are not limited to: Asset and Health Dynamics of the Oldest-Old (AHEAD); Australian Longitudinal Study of Aging (ALSA); Early Indicators of Later Work Levels, Disease, and Death; Epidemiology of Chronic Disease in the Oldest Old; Established Populations for Epidemiologic Studies of the Elderly (EPESE); German Socio-Economic Panel (GSOEP); Health and Retirement Study (HRS); Longitudinal Study of Aging (LSOA); Supplement on Aging II (SOA II); Luxembourg Income Study (LIS); National Long-Term Care Survey (NLTCS): 1982-1994; National Longitudinal Survey (NLS): 1990 Resurvey of Older Males; National Survey of Families and Households (NSFH) Reinterview; Odense Archive of Population Data on Aging; Panel Study of Income Dynamics (PSID); 1990 Public-Use Microdata Sample for the Older Population and the comparable samples from ECE countries; and Wisconsin Longitudinal Survey (WLS).

While development, enhancement and assembly of new databases from existing data are permitted, primary data collection from human subjects is not permitted.

Upon request, program staff listed under INQUIRIES will send applicants information about these and other datasets, including instructions on how the data can be accessed.

Although this Program Announcement is oriented primarily to the demography and economics of aging, the datasets listed above, among others, may also be relevant to other areas in the behavioral and social sciences. For such programmatic information, contact staff listed under INQUIRIES.


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 are provided that inclusion is inappropriate with respect to the health of the subjects of the purpose of the research. This new policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43) and supersedes and strengthens the previous policies (Concerning the Inclusion of Women in Study Populations, and Concerning the Inclusion of Minorities in Study Populations) which have been in effect since 1990. 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 reprinted in the NIH Guide for Grants and Contracts, Volume 23, Number 11, March 18, 1994.

Investigators also may obtain copies of the policy from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy.


The submission, review, and award schedule for the Small Research Grant Program for 1997 is:

Application Receipt Dates (new and revised): 03/17/97 07/17/97 11/17/97
Institute Committee Review:                  Jun-Jul  Oct-Nov  Feb-Mar
Earliest funding:                            Sept     Jan      May

Only one Small Grant application may be submitted by a principal investigator per receipt date. Applicants may not submit R01 or R29 applications on the same topic concurrent (to be considered at the same review cycle) with the submission of a Small Grant application.

Applications are to be submitted on the grant application form PHS 398 (rev. 5/95) and prepared according to the directions in the application packet, with the exceptions noted below. Application kits are available at most institutional offices of sponsored research and may be obtained from the Grants Information Office, Office of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/435-0714, e-mail: On the face page of the application: Item 2 Type "R03 Program: Secondary Analysis". Check the "YES" box.

Sections 1-4: Do not exceed a total of ten pages for the following sections: specific aims, background and significance, progress report/preliminary studies, and experimental design and methods. Tables and figures are included in the ten page limitation. Applications that exceed the page limitation or PHS requirements for type size and margins (Refer to PHS 398 application for details) will be returned to the investigator. The ten page limitation does not include Sections 5-9 (Human Subjects, Consortia, Literature cited). Appendix materials are not allowed.

"Just-in-time" (JIT) is an initiative of the National Institutes of Health (NIH) Extramural Reinvention Laboratory under the auspices of the National Performance Review and government-wide efforts to create a government that works better and costs less. JIT postpones the collection of certain information that currently must be included in all competing applications when submitted. The information for the applications with a likelihood of funding is submitted "just-in time" for awards to be made. This program announcement is incorporating JIT procedures as described below. Some sections are modified and others in the application do not need to be completed for the submission of the application, but WILL be requested if your application receives a priority score in the fundable range.

Form DD - Page 4 - DETAILED BUDGET PAGE FOR INITIAL BUDGET PERIOD Do not complete form page 4 of the PHS 398 (rev. 5/95). It is not required nor will it be accepted at the time of application.

Form EE - Page 5 - BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD Do not complete the categorical budget table on form page 5 in the PHS 398 (rev. 5/95). Only the requested total direct costs for each year and total direct costs for the entire proposed period of support should be shown. Begin the budget justification in the space provided, using continuation pages as needed.

Budget Justification

- List the name, role on project and percent effort for all project personnel (salaried or unsalaried) and provide a narrative justification for each person based on his/her role on the project and proposed level of effort.

- Identify all consultants by name and organizational affiliation and describe the services to be performed.

- Provide a narrative justification for any major budget items, other than personnel, that are requested for the conduct of the project that would be considered unusual for the scope of research. No specific costs for items or categories should be shown.

- Indirect costs will be calculated at the time of the award using the institution's actual indirect cost rate. Applicants will be asked to identify the indirect cost exclusions prior to award.

- If consortium/contractual costs are requested, provide the percentage of the subcontract total costs (direct and indirect) relative to the total direct costs of the overall project. The subcontract budget justification should be prepared following the instructions provided above.

Submit a signed original of the application, including the checklist, and three exact photocopies in one package to:

BETHESDA, MD 20892-7710
BETHESDA, MD 20817 (for courier/overnight service)

In addition, to expedite the review of the application, submit two additional exact photocopies of the application directly to:

Chief, Scientific Review Office
National Institute on Aging
Gateway Building Suite 2C212, MSC 9205
7201 Wisconsin Avenue
Bethesda, MD 20892-9205

In order not to delay review, it is important that applicants comply with this request.


A review committee of the NIA will evaluate each Small Grant application with respect to the following criteria:

- Adequacy of approach and scientific originality and significance

- Degree of innovation

- "High risk" with likelihood for "high gain"

- Feasibility of the proposed research

- Availability of resources necessary for the research

- Importance of the area to aging research

- Appropriateness of the proposed budget and timetable in relation to the scope of the proposed research

- Qualifications and research experience of the principal investigator.


Applications will compete for available funds with all other approved applications. The following will be considered in making funding decisions:

- quality of the proposed project as determined by peer review;

- availability of funds;

- program priority


Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome.

For information about the datasets described above, send your inquiry to:

Donna Perry
Behavioral and Social Research Program
National Institute on Aging
Gateway Building, Suite 533
7201 Wisconsin Avenue MSC 9205
Bethesda, MD 20892-9205 (e-mail correspondence is preferred)

Direct inquiries regarding programmatic issues (including those not related to the demography or economics of aging but that may be relevant to other areas in the behavioral and social sciences) to:

Georgeanne E. Patmios
Behavioral and Social Research Program
National Institute on Aging
Gateway Building, Suite 533
7201 Wisconsin Avenue MSC 9205
Bethesda, MD 20892-9205 (e-mail correspondence is preferred)
Telephone: (301) 496-3138
FAX: (301) 402-0051

Direct inquiries regarding fiscal matters to:

Dave Reiter
Grants and Contracts Management Office
National Institute on Aging
Gateway Building, Suite 2N212
7201 Wisconsin Avenue MSC 9205
Bethesda, MD 20892
Telephone: (301) 496-1472
FAX: (301) 402-3672


This program is described in the Catalog of Federal Domestic Assistance No. 93.866. 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 and 45 CFR Part 74. 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 recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.