The
purpose of the Center is to support research, training, health information
dissemination and other activities with respect to sleep and sleep
disorders, including biological and circadian rhythm research, basic
understanding of sleep, chronobiological and other sleep related
research; and to coordinate the activities of the Center with related
activities of other Federal agencies, public and nonprofit organizations.
TYPES
OF ASSISTANCE:
Project Grants. Place Cursor Here for Definition
USES
AND USE RESTRICTIONS:
Grants may support salaries,
equipment, supplies, travel, and patient hospitalization as required
to perform the research effort. Restrictions or limitations are
imposed against the use of funds for entertainment, foreign travel,
general-purpose equipment, alterations and renovations, and other
items not regularly required for the performance of research. National
Research Service Awards (NRSAs) are made directly to individuals
for research training in specified biomedical shortage areas. Grants
may be made to institutions to enable them to make NRSAs to individuals
selected by them. Certain service and payback provisions apply to
individuals upon termination of the award. SBIR Phase I grants (of
approximately 6-months' duration) are to establish the technical
merit and feasibility of a proposed research effort that may lead
to a commercial product or process. Phase II grants are for the
continuation of the research initiated in Phase I and which are
likely to result in commercial products or processes. Only Phase
I awardees are eligible to apply for Phase II support. STTR Phase
I grants (normally of 1-year duration) are to determine the scientific,
technical, and commercial merit and feasibility of the proposed
cooperative effort that has potential for commercial application.
Phase II funding is based on results of research initiated in Phase
I and scientific and technical merit and commercial potential on
Phase II application.
ELIGIBILITY REQUIREMENTS:
Applicant Eligibility:
Any nonprofit organization engaged in biomedical research, as well
as institutions or companies organized for profit, may apply for
grants with the exception of NRSAs. An individual may apply for
a NRSA or, in some cases, may qualify for a research grant if adequate
facilities in which to perform the research are available. SBIR
grants can be awarded only to domestic small businesses (entities
that are independently owned and operated for profit, are not dominant
in the field in which research is proposed and have no more than
500 employees). Primary employment (more than one-half time) of
the principal investigator must be with the small business at the
time of award and during the conduct of the proposed project. In
both Phase I and Phase II, the research must be performed in the
U.S. and its possessions. To be eligible for funding, a grant application
must be approved for scientific merit and program relevance by a
scientific review group and a national advisory council. STTR grants
can be awarded only to domestic small business concerns (entities
that are independently owned and operated for profit, are not dominant
in the field in which research is proposed and have no more that
500 employees) which "partner" with a research institution in cooperative
research and development. At least 40 percent of the project is
to be performed by the small business concern and at least 30 percent
by the research institution. In both Phase I and Phase II, the research
must be performed in the U.S. and its possessions. To be eligible
for funding, a grant application must be approved for scientific
merit and program relevance by a scientific review group and a national
advisory council.
Beneficiary Eligibility:
Any nonprofit or for-profit organization, company or institution
engaged in biomedical research.
Credentials/Documentation:
Applicants for individual National Research Service Awards must
be citizens of the United States or have been admitted for permanent
residency; must hold a doctoral degree (M.D., Ph.D., D.D.S., D.O.,
D.V.M., Sc.D., D. Eng., or equivalent domestic or foreign degree);
and must designate a desire for training in one of the health
or health-related areas specified by the National Institutes of
Health. Each applicant must be sponsored by an accredited public
or private nonprofit institution engaged in such training. Costs
will be determined in accordance with OMB Circular No. A-87 for
State and local governments. For-profit organizations' costs are
determined in accordance with Subpart 31.2 of the Federal Acquisition
Regulations. For other grantees, costs will be determined in accordance
with HHS regulations 45 CFR, Part 74, Subpart Q. For SBIR and
STTR grants, applicant organization (small business concern) must
present in a research plan an idea that has potential for commercialization
and furnish evidence that scientific competence, experimental
methods, facilities, equipment, and funds requested are appropriate
to carry out the plan. Grant forms PHS 6246-1 and PHS 6246-2 are
used to apply for SBIR Phase I and Phase II, respectively. Grant
forms PHS 6246-3 and PHS 6246-4 are used to apply for STTR Phase
I and Phase II, respectively.
Pre-application
Coordination: Not applicable. This program is
excluded from coverage under E.O. 12372.
Application Procedure:
Research grant applications are submitted on designated forms
to the Center for Scientific Review, National Institutes of Health,
Bethesda, MD 20892. Forms for individual NRSA applications may
be obtained from and submitted to the Division of Extramural Outreach
and Information Resources, Office of Extramural Research, National
Institutes of Health, 6701 Rockledge Drive, Room 6207, MSC 7910,
Bethesda, MD 20892. Telephone: (301) 435-0714. Fax: (301) 480-0525.
E-mail: asknih@od.nih.gov. For some special grant programs, applicants
may be advised to submit directly to the Review Branch, Division
of Extramural Affairs, National Heart, Lung, and Blood Institute,
Bethesda, MD 20892. The standard application forms, as furnished
by PHS and required by 45 CFR, Part 92, must be used for this
program. SBIR and STTR Grant Solicitations and SBIR Contract Solicitation
may be obtained electronically through the NIH's "Small Business
Funding Opportunities" home page at www.nih.gov/grants/funding/sbir.htm
on the World Wide Web. A limited number of hard copies of these
publications are produced. Subject to availability, they may be
obtained by contacting the NIH support services contractor: phone:
(301) 206-9385; fax: (301) 206-9722; E-mail: a2y@cu.nih.gov. The
Solicitations include submission procedures, review considerations,
and grant application or contract proposal forms. SBIR and STTR
grant applications should be submitted to the Center for Scientific
Review, 6701 Rockledge Drive, Room 1040 - MSC 7710, Bethesda,
MD 20892-7710.
Award Procedure:
All accepted applications are evaluated by an appropriate initial
review group (study section). All grant applications receive a
final secondary review by the National Heart, Lung, and Blood
Advisory Council. Staff informs applicants of the results of the
review. If support is contemplated, staff initiates preparation
of awards for grants. All accepted SBIR/STTR applications are
evaluated for scientific and technical merit by an appropriate
scientific peer review panel and by a national advisory council
or board. All applications receiving a priority score compete
for available SBIR/STTR set-aside funds on the basis of scientific
and technical merit and commercial potential of the proposed research,
program relevance, and program balance among the areas of research.
Deadlines:
New Research Grants: February 1, June 1, and October 1 (or as
specified in Request for Applications (RFA) announcements). Renewals
and Supplementals: March 1, July 1, and November 1. Individual
NRSAs: April 5, August 5, and December 10. Individual NRSA: January
10, May 10, and September 10. SBIR/STTR Grants: April 1, August
1, and December 1.
Range of Approval/Disapproval
Time: Regular Grants: From 7 to 9 months.
SBIR/STTR Grants: About 7-1/2 months.
Appeals:
A principal investigator (P.I.) may question the substantive or
procedural aspects of the review of his/her application by communicating
with the staff of the Institute. A description of the NIH Peer
Review Appeal procedures is available on the NIH home page www.nih.gov/grants/guide/1997/97.11.21/n2.html.
Renewals:
Renewal applications are reviewed in the same manner as new applications.
ASSISTANCE CONSIDERATIONS:
Formula and Matching
Requirements: This program has no statutory
formula or matching requirements.
Length and Time Phasing
of Assistance: The Advisory Council may recommend
funding for periods from 1 to 5 years. Funding commitments are
made annually. SBIR: Normally, Phase I awards are for 6 months;
normally, Phase II awards are for 2 years. STTR: Normally, Phase
I awards are for 1 year; normally, Phase II awards are for 2 years.
POST ASSISTANCE REQUIREMENTS:
Reports:
Annual reports on progress and expenditures. Final reports are required
within 120 days of termination. Reports are required after termination
of National Research Service Awards to ascertain compliance with
the service and payback provisions.
Audits:
In accordance with the provisions of OMB Circular No. A- 133 (Revised,
June 24, 1997), "Audits of States, Local Governments, and Non-Profit
Organizations," nonfederal entities that expend financial assistance
of $300,000 or more in Federal awards will have a single or a
program-specific audit conducted for that year. Nonfederal entities
that expend less than $300,000 a year in Federal awards are exempt
from Federal audit requirements for that year, except as noted
in Circular No. A-133. In addition, grants and cooperative agreements
are subject to inspection and audits by DHHS and other Federal
government officials.
Records:
Expenditures and other financial records must be retained for
3 years from the day on which the grantee submits the last financial
status report for the report period.
FINANCIAL INFORMATION:
Account Identification:
75-0872-0-1-552.
Obligations:
(Grants) FY 01 $35,527,000; FY 02 est $39,434,000; and FY 03 est
$43,148,000.
Range
and Average of Financial Assistance:
The range is from $178,890 to $590,861: Average: $354,233;
Small Business Innovation Research/Small Business Technology Awards:
Phase I - $100,000; Phase II - up to $500,000 for STTR and up
to $750,000 for SBIR.
In fiscal year 2001, 109
research grants, and 8 National Research Service Awards were made.
For new and competing renewal awards: 78 grant applications were
received, and of these, 28 were awarded; six National Research Service
Award applications were received, and of these 2 were awarded. The
estimates for fiscal year 2002 are 117 research grants and 8 National
Research Service Awards. The estimates for fiscal year 2003 are
109 research grants and 8 National Research Service Awards. Small
Business Innovation Research Awards: for fiscal year 2001, 10 Phase
I and 3 Phase II awards were made.
REGULATIONS, GUIDELINES, AND
LITERATURE:
42 CFR 52; 42 CFR 66;
45 CFR 74; 45 CFR 92; "NIH Guide for Grants and Contracts, and Supplements";
PHS Grants Policy Statement, DHHS Publication No. (OASH) 94-50,000,
(Rev.) April 1, 1994; Grants will be available under the authority
of and administered in accordance with the PHS Grants Policy Statement
and Federal regulations at 42 CFR 52 and 42 U.S.C. 241; Omnibus
Solicitation of the Public Health Service for Small Business Innovation
Research (SBIR) Grant and Cooperative Agreement Applications. Omnibus
Solicitation of the National Institutes of Health for Small Business
Technology Transfer (STTR) Grant Applications.
INFORMATION CONTACTS:
Regional or Local
Office: Not applicable.
Headquarters Office:
Program Contacts: Director, National Center on Sleep Disorders
Research, National Heart, Lung, and Blood Institute, National
Institutes of Health, Public Health Service, Department of Health
and Human Services, Bethesda, MD 20892. Telephone: (301) 435-
0199. Jan Monty, Administrative Office. Telephone: (301) 435-6373.
Small Business Innovation Research Program: Deputy Director, Division
of Extramural Affairs, National Heart, Lung, and Blood Institute,
National Institutes of Health, Public Health Service, Department
of Health and Human Services, Bethesda, MD 20892. Telephone: (301)
435-0266. Grants Management Contact: Mr. Edward Donohue, Grants
Management Officer, Grants Operations Branch, Office of Program
Policy and Procedures, National Heart, Lung and Blood Institute,
National Institutes of Health, Public Health Service, Department
of Health and Human Services, Bethesda, MD 20892. Telephone: (301)
435-0144. Use the same numbers for FTS.
Web Site Address: http://www.nih.gov
EXAMPLES OF FUNDED PROJECTS:
1) Phenotypic Characterization
of Sleep in Mice (HL-99-001); (2) Nocturnal Asthma, Chronobiology
and Sleep (HL-99-011); (3) Implementation of the National Occupational
Research Agenda (OH-99-002); (5) Data Coordinating Center for the
Sleep Heart Health Study (HL-99-014) and ongoing support for: (6)
a total of twenty (20) Sleep Academic Awards (7) the Specialized
Centers of Research (SCOR) program in Neurobiology of Sleep and
Sleep Apnea, (8) the Institutional National Research Service Award
in Sleep Research, and (9) Basic and Clinical Research in Sleep
and Wakefulness (PA-95-014).
CRITERIA FOR SELECTING PROPOSALS:
The major elements in
evaluating proposals include assessments of: (1) The scientific
merit and general significance of the proposed study and its objectives;
(2) the technical adequacy of the experimental design and approach;
(3) the competency of the proposed investigator or group to successfully
pursue the project; (4) the adequacy of the available and proposed
facilities and resources; (5) the necessity of the budget components
requested in relation to the proposed project; and (6) the relevance
and importance to announced program objectives. The following criteria
will be used in considering the scientific and technical merit of
SBIR/STTR Phase I grant applications: (1) The soundness and technical
merit of the proposed approach; (2) the qualifications of the proposed
principal investigator, supporting staff, and consultants; (3) the
technological innovation of the proposed research; (4) the potential
of the proposed research for commercial application; (5) the appropriateness
of the budget requested; (6) the adequacy and suitability of the
facilities and research environment; and (7) where applicable, the
adequacy of assurances detailing the proposed means for (a) safeguarding
human or animal subjects, and/or (b) protecting against or minimizing
any adverse effect on the environment. Phase II grant applications
will be reviewed based upon the following criteria: (1) The degree
to which the Phase I objectives were met and feasibility demonstrated;
(2) the scientific and technical merit of the proposed approach
for achieving the Phase II objectives; (3) the qualifications of
the proposed principal investigator, supporting staff, and consultants;
(4) the technological innovation, originality, or societal importance
of the proposed research; (5) the potential of the proposed research
for commercial application; (6) the reasonableness of the budget
requested for the work proposed; (7) the adequacy and suitability
of the facilities and research environment; and (8) where applicable,
the adequacy of assurances detailing the proposed means for (a)
safeguarding human or animal subjects, and/or (b) protecting against
or minimizing any adverse effect on the environment.
