NATIONAL
INSTITUTES OF HEALTH, DEPARTMENT OF HEALTH AND HUMAN SERVICES
AUTHORIZATION:
Public
Health Service Act, Title III, Part A, Section 301, Title IV, Part
D, Subpart 2, Sections 472-476, as amended, Public Law 103-43; Small
Business Research and Development Enhancement Act of 1992, Public
Law 102-564.
To
improve health information services by providing funds to train
professional personnel; strengthen library and information services;
facilitate access to and delivery of health science information;
plan and develop advanced information networks; support certain
kinds of biomedical publications; and conduct research in medical
informatics and related sciences. Small Business Innovation Research
(SBIR) program: To expand and improve the SBIR program; to increase
private sector commercialization of innovations derived from Federal
research and development; to increase small business participation
in Federal research and development; and to foster and encourage
participation of socially and economically disadvantaged small business
concerns and women-owned small business concerns in technological
innovation. Small Business Technology Transfer (STTR) program: To
stimulate and foster scientific and technological innovation through
cooperative research development carried out between small business
concerns and research institutions; to foster technology transfer
between small business concerns and research institutions; to increase
private sector commercialization of innovations derived from Federal
research and development; and to foster and encourage participation
of socially and economically disadvantaged small business concerns
and women-owned small business concerns in technological innovation;
to continue support of biocomputing and bioinformatics including
participation in the Biomedical Information Science and Technology
Initiative (BISTI).
TYPES
OF ASSISTANCE:
Project Grants. Place Cursor Here for Definition
USES
AND USE RESTRICTIONS:
For
all mechanisms of support, the award and use of funds is subject
to applicable provisions of basic statutory authorities, appropriation
acts, applicable regulations and operational policies of the Department
of Health and Human Services, the Public Health Service, the National
Institutes of Health and the National Library of Medicine. For Information
Access and Information Systems Grants, institutional support commitments
during and after the award are required. An Information Access Grant
to Health Science Libraries may be made to public or private nonprofit
institutions (most typically hospitals) to improve information access
by employing up-to- date and effective computer and telecommunications
technology. A grant may be given to an institution on behalf of
its library or to an institution on behalf of a group of libraries
under a formal consortium agreement. Funds may be used to initiate
or to augment (but not supplant) current technological usage. A
procedure or training component to instruct professional users may
be an appropriate part of the application. An Information Systems
Grant to Health Science Institutions may be made for the utilization
of existing technologies or technological systems to improve the
infrastructure of health information transfer or to initiate effective
methods of exploiting the qualities of the infrastructure. A grant
may be awarded to an institution or a group of institutions (consortium).
Information Access and Systems Grants may be used for personnel,
supplies, equipment, consultant fees, limited travel, and other
related expenses. Grant funds may not support audiovisual production,
construction, binding, or acquisition of health science information
source material, indirect costs, depreciation, or foreign travel.
Internet Connections Grants are one year awards made to domestic,
public and private, nonprofit institutions for the purpose of providing
health professionals access to remote databases, libraries, and
other medical information resources and through the institutional
Internet connectivity to promote the rapid interchange of medical
information nationally and throughout the world. For a single institution,
up to $30,000 may be requested and for a group of institutions,
up to $50,000 may be requested to support development and enhancement
of multi-institution networks including extending connectivity to
outlying sites, or otherwise furthering NLM's goal of expanding
information outreach. Grant funds may be used to support the purchase
and installation of the gateway system and associated connection
hardware and to defray the cost of installation and leasing of communication
circuits to connect to the Internet Service Provider. Awards for
the planning of Integrated Advanced Information Management Systems
(IAIMS) Grants are limited to $150,000 per year for 1 or 2 years,
and, for IAIMS Operations Grants, the limit is up to $500,000 per
year for 5 years; principal investigators of IAIMS operations grants
may request an additional $50,000 to support training of an IAIMS
apprentice. Awards for selected types of Scientific Publication
Grants are limited to $25,000 annually for direct costs. Research
Grants include support of investigations into issues of health knowledge,
organization, representation, and utilization. First Independent
Research Support and Transition Awards (FIRST) and Research Career
Development Awards are used to encourage research careers in medical
informatics and related computer sciences. Areas of research include
medical informatics (including informatics as it relates to the
representation and analysis of molecular biology data by computer),
and health science information. Support may be requested for allowable
direct costs of such projects as specified under National Institutes
of Health and National Library of Medicine policies and regulations
for research grants, including equipment, supplies, personnel, and
travel, as justified by the nature and scope of the project. Institutional
Training Grants and Fellowships promote the research career training
of talented persons who seek academic careers in medical informatics
research and applied informatics. Availability of Institutional
Training Grants is announced occasionally. Institutional Training
support may be at the pre- or post-doctoral level and may be awarded
to academic health scientists well qualified to conduct the proposed
training activities. Training sites are expected to have well established
computer facilities, strong research and education programs, experienced
faculty and staff committed to health computer science research,
and available courses or experience in computer science, information
science, and cognitive sciences. Institutional grants provide trainee
stipends, tuition and fees, travel, and certain institutional support
costs. Individual fellowships for Research Career Training in Medical
Informatics and Applied Informatics are at the pre - and post-doctoral
level. Fellowships for training in the Application of Informatics
are also available, with salary replacement stipends up to $58,000
per annum. 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 that are likely to result in commercial products
or processes. Only Phase I awardees are eligible to receive 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: For Information Access Grants:
Any public or private nonprofit institution which maintains or plans
to establish library and information services to clientele in the
health professions. For Information Systems Grants: Any nonprofit
institution or organization unit whose primary function is the acquisition,
preservation, dissemination, and/or processing of information relating
to the health sciences. For Internet Connections Grants: Any domestic,
public or private, nonprofit institutions engaged in health sciences
administration, education, research, and/or clinical care. For IAIMS
Grants: Any public or private nonprofit health sciences institution
or organization. For Scientific Publication Grants: Appropriate
public or private nonprofit institution of higher education may
apply in behalf of the principal investigator on the project; also,
individuals may apply directly. For Research Grants: Institutions
or organizations with research capabilities in the health information
fields or in medical informatics. Training Grants, when available,
may be made to nonfederal public and nonprofit private institutions.
Fellowships may be awarded to individuals at the pre-doctoral or
post-doctoral level. Trainees or fellows must be citizens or noncitizen
nationals of the United States or have been lawfully admitted to
the United States for permanent residence. SBIR 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 organization, company, institution
or individual with a need for health science information.
Credentials/Documentation:
Cost allowability will be determined in accordance with OMB Circular
A-87 for State, Local, and Indian Tribal Governments, OMB Circular
A-21 for Educational Institutions and for For-profit organizations,
costs will be determined in accordance with 48 CFR Subpart 31.2
Federal Acquisition Regulation (FAR). Non-Profit institutions
cost principals are outlined under OMB Circular A-122 and for
Hospitals, 45 CFR Part 74, Appendix E. These cost principals are
codified under 45 CFR 74.27 and 92.22. Uniform Administrative
Requirements for Grants and Other Agreements with Institutions
of Higher Education, Hospitals, and Other Nonprofit Organizations
are outlined in OMB Circular A-110. Documentation providing NIH
grants policy and guidance can be found at http://grants.nih.gov/grants/policy/policy.htm
The Division of Extramural Programs, NLM provides program specific
grant information at http://www.nlm.nih.gov/ep/extramural.html.
Pre-application
Coordination: Not applicable. This program is
excluded from coverage under E.O. 12372.
Application
Procedure: For Information Access Grants,
Internet Connections Grants, IAIMS Grants, Information Systems
Grants, Scientific Publication Grants, Research Grants, and Institutional
Training Grants, Application Form PHS-398 is submitted to the
Division of Research Grants, National Institutes of Health, Bethesda,
MD 20892. For Individual Fellowship applications (research or
applied), submit Form PHS-416-1. The standard application forms,
as furnished by PHS and required by 45 CFR, Part 92 for State
and local governments, must be used for these programs. These
programs are subject to the provisions of 45 CFR, Part 92 for
State and local governments and OMB Circular No. A-110 for nonprofit
organizations. 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: Applications are evaluated for
merit by a committee of nonfederal experts and for program relevance
by the Board of Regents (BOR) of the National Library of Medicine
(NLM). (Fellowship applications are not reviewed by the BOR of
NLM). If favorably recommended, the application is considered
for funding. An award notice (Form PHS 5152-1 or PHS 416-4 for
fellowship) is prepared when it is determined that a grant is
to be paid. This notice is sent to the grantee with a letter from
the program officer when special provisions are necessary. 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 applications: February 1, June 1, and October 1. Renewal,
Supplemental, and Revised applications: March 1, July 1, and November
1. SBIR: April 15, August 15, and December 15. STTR: April 1,
August 1, and December 1. Fellowships: April 5, August 5, and
December 5. Special Requests for Applications (RFAs) or newly
established Program Announcements (PAs) issued annually may have
other limited deadline dates.
Range
of Approval/Disapproval Time: From 6 to 9
months. SBIR/STTR: 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 Library. 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:
Application follows same review procedures as new applications;
dates for submission are indicated above. Extensions without funds
can be requested.
ASSISTANCE
CONSIDERATIONS:
Formula
and Matching Requirements: There are no statutory
formula or matching requirements for NLM grants.
Length
and Time Phasing of Assistance: For Information
Access Grants, 1 year; not more than 2 years for Information Access
Grants under a consortium arrangement; and 1 to 3 years for Information
Systems Grants. For Internet Connections Grants, 1 year and not
renewable. For IAIMS Grants, one to five years. For Scientific
Publication Grants, awards beyond a maximum of 3 years are considered
only in exceptional circumstances. For Research Grants, no more
than 5 years of support is given. For fellowships, from 1 to 3
years, and are not renewable. New Investigator Awards and Career
Development Awards are for 5-year periods and are not renewable.
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 grant progress reports and Financial Status Reports must
be submitted as required; including final grant closeout reports
comprised of a final progress report, final Financial Status Report
and final statement of invention.
Audits:
In accordance with the provisions of OMB Circular No. A-133, "Audits
of States, Local Governments, and Nonprofit Organizations", audits
required under these provisions apply to nonfederal organizations
that expend $300,000 or more in a year in Federal awards that
they shall have a single or program-specific audit conducted for
that year. Nonfederal organizations receiving less that $300,000
are exempt; however, they must maintain records available for
review by appropriate officials of the Federal (funding) agency,
pass-through entity and the General Accounting Office (GAO). For-profit
audits of organizations that expend more that $300,000 year may
have an audit in accordance with the "Government Auditing Standards"
(Yellow Book) or an audit that meets the requirements of OMB Circular
A-133.
Records:
Financial and programmatic records must be retained for 3 years
from the day on which the grantee submits the last (annual) Financial
Status Report (FSR). SNAP awardees beginning date for record retention
purposes is the date of the FSR submission for the entire competitive
segment of the grant.
FINANCIAL
INFORMATION:
Account
Identification: 75-0807-0-1-552.
Obligations:
(Grants) FY 01 $36,755,012; FY 02 est $44,666,000; and FY 03 est
$50,550,000.
Range
and Average of Financial Assistance:
$5,000 to $2,000,000; Average: $250,000.
In fiscal year 2001, 267 awards were made for projects in health
information infrastructure, medical informatics and biomedical communications
research, and academic publication. The applications were in response
to Program Announcements and Requests for Applications, initiated
by nonprofit institutions, small businesses, and independent scholars,
and were for planning, implementing, evaluating, and training activities.
It is anticipated that approximately 240 awards will be issued in
fiscal year 2002 and approximately 250 awards will be issued in
fiscal year 2003.
REGULATIONS,
GUIDELINES, AND LITERATURE:
45 CFR 74; 45 CFR 92; National Library of Medicine Grant Programs,
Publication Grant Description, no charge. 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: Extramural Programs, National Library
of Medicine, National Institutes of Health, Public Health Service,
Department of Health and Human Services, Bethesda, MD 20894. Telephone:
(301) 496-4621. Program Contacts: Telephone: (301) 594-4882. Grants
Management Contact: Grants Management Officer: Telephone: (301)
496- 4221. Grant Review Contact: Scientific Review Administrator.
Telephone: (301) 496-4253. Use the same numbers for FTS. Website:
www.nlm.nih.gov/ep/extramural.html.
Web
Site Address: http://www.nlm.nih.gov
EXAMPLES
OF FUNDED PROJECTS:
Information Access Grants: To introduce computer searching of professional
books and journals into the hospital environment. An Informational
Systems Grant: To link into an electronic network several health
sciences libraries or to integrate disparate information data bases
within the same institution. An IAIMS grant: to link the myriad
disparate computer databases of a large medical center into a single
interfaced system which sustains "one stop" information shopping
at each terminal. A Scientific Publication Grant: To write a book
on the history and development of the premature infant nursery in
the United States. The book will be published by a university press.
A Research Grant: To investigate the knowledge structures of graphic
images as applicable to the design of medical knowledge bases and
computerized expert systems. Informatics of Biotechnology (Computational
Biology): analyze experimental data sets in molecular biology, neuroscience,
or other fields with manipulation of data by computer. A Training
Grant: To offer challenging experience in health computer sciences
for persons of high potential for academic research careers in these
sciences. The multi-disciplinary training seeks to make trainees
expert in one discipline of information sciences, cognitive science,
and computer science as related to information management. A listing
of current institutional training sites is available from Headquarters
Office or WEB site as listed above. A Fellowship: To enable an individual
to apply the knowledge of informatics, to develop modern information
systems, and to disseminate and implement promising programs and
systems. An Internet Connections grant: to connect a health science
institution to the Internet.
CRITERIA
FOR SELECTING PROPOSALS:
Relevance to program objectives; impact on the transmission of biomedical
knowledge; resources available to project; competence of project
director; scientific or technical merit of project; and adequacy
of budget. Comparative priorities on the above criteria are based
on collective judgment of nonfederal peers of applicants. 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 scientific, technical, or 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.
Animal Subjects Guidelines:
http://grants.nih.gov/grants/olaw/olaw.htm#pol Human Subjects Guidelines:
http://ohrp.osophs.dhhs.gov/polasur.htm.
