Source: http://grants1.nih.gov/grants/guide/rfa-files/RFA-DE-03-006.html
Timestamp: 2014-09-17 21:55:00
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RFA-DE-03-006: PLANNING AWARDS FOR IMPROVEMENT OF RESEARCH INFRASTRUCTURE IN U.S. DENTAL SCHOOLS
PLANNING AWARDS FOR IMPROVEMENT OF RESEARCH INFRASTRUCTURE IN U.S. DENTAL SCHOOLS
RELEASE DATE: August 8, 2002	RFA: DE-03-006
LETTER OF INTENT RECEIPT DATE: November 15, 2002
APPLICATION RECEIPT DATE: December 17, 2002 THIS RFA CONTAINS THE FOLLOWING INFORMATION
The National Institute of Dental and Craniofacial Research (NIDCR) invites applications to enhance the research infrastructure of U.S. dental schools. Applications are encouraged through this RFA for the purpose of developing an institutional Infrastructure Improvement Plan. This will strengthen research programs through the creation of a critical mass of researchers in a pre-selected area(s) and through improvements in the research support infrastructure, including research personnel and equipment. The strengthening of research capacity resulting from this initiative will enhance the ability of U.S. dental schools to conduct cutting edge research in oral, dental and craniofacial diseases and disorders.
Definitions of several terms used in this RFA are given in the Appendix.
Oral, dental and craniofacial diseases and disorders are among the most common problems affecting the health and well being of the U.S. population. As highlighted in the U.S. Surgeon General"s Report "Oral Health in America," oral health is essential to general health and means much more than healthy teeth. The challenge is to understand complex diseases caused by the interaction of multiple genes with environmental and behavioral variables and to translate research findings into improved care and healthier lifestyles. NIDCR has expanded its research support portfolio to address these complex interactions in the genesis of oral, dental and craniofacial diseases and disorders. The growth in the scientific areas of interest has been accompanied by a parallel shift in research emphasis from traditional disciplines to new approaches involving molecular medicine and other tools of modern biomedical research. The areas of scientific opportunity include genomics, proteomics, stem cell biology, biomimetics and bioengineering, pharmacogenetics, gene transfer and gene therapy, clinical genetics and molecular epidemiology, cell engineering and bioinformatics. Of special importance is the application of basic science advances to clinical research. These areas of scientific opportunity require not only an appropriate research infrastructure, but also cross-disciplinary interactions between investigators with solid skills and competencies in new and expanding areas of science.
A large portion of dental, oral and craniofacial research is performed in the nation"s dental schools, but these institutions" research infrastructure and workforce capacity need to be strengthened in order to help them take advantage of the new opportunities in research and to remain competitive and full participants in the modern research enterprise. This initiative is designed to provide the necessary resources for dental schools to develop and to implement comprehensive institutional plans to improve their research infrastructure, to strengthen their research capabilities by recruiting and retaining research personnel and to establish institutional linkages that augment and expand their research capacity. The proposed initiative is an outgrowth of a summit conference held at NIDCR in October 2001 with dental school deans, associate deans for research and officials from the associated parent university. The participants addressed four major topics: 1) the role of research in the dental school mission, 2) issues in the recruitment and retention of students and faculty into research, 3) issues of costs, personnel needs and infrastructure requirements for basic and clinical research and 4) partnerships that can enhance the research agenda. A number of recommendations emerged from this meeting, including the need for institutional needs assessments and strategic planning on the part of the schools and the need for external support for these activities. The NIDCR has partnered with the other sponsors of the Conference (American Dental Education Association, American Association for Dental Research, American Dental Association) in identifying "next steps" actions following the Conference. The activities to be funded through the present RFA are an important part of this joint effort.
Grants for this overall initiative will be awarded in two phases. The present RFA will support Phase I, which consists of two related parts. The first part is an Assessment of Critical Needs to improve the dental school"s research infrastructure. For this RFA, critical research infrastructure needs may include hiring, supporting and mentoring clinical, basic, translational or behavioral research investigators in tenure-track (or equivalent) positions, recruiting outstanding experienced scientists for tenured positions, retraining senior scientists as necessary, and providing a well-organized biomedical research environment that includes technical support personnel, appropriate equipment, supplies, shared resources, and inter- and intra-institutional linkages. The second part of Phase I is the preparation of an Infrastructure Improvement Plan that is based on the Assessment of Critical Needs. The Infrastructure Improvement Plan must address the critical research infrastructure needs such that the dental school"s capability to perform outstanding research is enhanced, as measured by obtaining research grants from the NIH and other entities. Successful Phase I applicants will receive a one year planning grant of up to $100,000 (direct costs). Funds awarded for this RFA (Phase I) can be used for (a) salaries for key personnel and supplies to support the administrative work, (b) technical assistance, (c) focus groups or workshops addressing the institutional evaluation and needs assessment, (d) support staff, and (e) supplies and services related to the development of the plan. The detailed Infrastructure Improvement Plan developed in Phase I will be the basis for the subsequent Phase II grant application. Therefore, the Infrastructure Improvement Plan should NOT be included in the Phase I application. The phase I planning application should only describe how funds will be used to DEVELOP the detailed Infrastructure Improvement Plan. Phase I, Part 1 (Assessment of Critical Needs) This consists of developing a process to assess the institution"s current research situation and then performing a needs assessment in a specific area(s) of research. This portion of the application should describe the approach that will be used to assess the area(s) of research focus and the critical infrastructure needs to improve the institution"s capacity for conducting state-of-the-art research. To facilitate this activity, the Principal Investigator must organize two Advisory Committees: 1) an Institutional Planning Committee and, 2) an External Advisory Committee. The Institutional Planning Committee should be comprised of staff from the dental school and must be formed during Phase I, Part 1. This Committee will have responsibility for assisting the Program Director in conducting the Critical Needs Assessment and in developing the Infrastructure Improvement Plan. In addition, an External Advisory Committee, composed of distinguished senior scientists from outside the dental school, must be organized and will provide independent external consultant expertise. The specific types of expertise should be delineated, however, the names of Committee members are not required.
Phase I, Part 2 (Infrastructure Improvement Plan)
In Phase I, Part 2, the applicant must develop a comprehensive, institution-wide Infrastructure Improvement Plan, based on the Assessment of Critical Needs, that will result in the desired infrastructure for the area(s) of research identified in Part 1. The application for this award must include the proposed process and methods for developing the Infrastructure Improvement Plan. The Infrastructure Improvement Plan that is developed in Phase I, part 2 as a result of a successful R24 award should contain at least the following elements:
o Area(s) of research focus that will be developed or strengthened and rationale for its selection. This should build on the existing research strengths or expertise at the applicant institution.
o A plan to create or improve the necessary research infrastructure, including:
1. A description of existing infrastructure. This MUST include human resources (e.g., researchers and support personnel), equipment, physical structure, space layout, shared resources and infrastructure pertinent to the research focus of the institution.
2. Steps needed to create a critical mass of researchers (clinical, basic, translational, behavioral science or combination) in the selected area(s) of research,
3. Plans to recruit, integrate, mentor and support relatively junior scientists (e.g., through creation of tenure-track or equivalent positions) and established investigators who can attract additional collaborators and trainees, 4. Well justified plans to acquire modern research supplies and equipment,
5. Plans for intra- and inter-institutional links and shared research cores that may be developed to enhance the research program (This will discuss how cooperative linkages and partnerships would be formed with these centers or institutions. Evidence of strong collaborations with research-intensive institutions is encouraged by the NIDCR both within and outside the parent university or Academic Health Center.),
6. Plans to create or renovate research facilities (if indicated) using non-Federal dollars,
7. Plans to develop research training and career development programs for existing faculty, students and junior scientists, 8. Plans for evaluating the effectiveness of the Infrastructure Improvement Plan, and 9. A time-line specifying the processes, steps and benchmarks for implementing the Infrastructure Improvement Plan. It is especially important to propose a plan for obtaining institutional commitment to this entire program by the institution"s leadership (President of the health science center or Chancellor of university) to help support the development of the dental school"s research infrastructure and enhance the school"s capacity to carry out research throughout the two-year funding period and beyond the award. This long term plan must specifically indicate how the investigators and facilities will be supported after the Phase I and II award periods end, such as through partnering and leveraging. The statement must address specific resources that will be dedicated to the objectives of this RFA, protected time for faculty, space that will be dedicated to this effort, and discretionary resources that will be made available to the Principal Investigator. Overview of Phase II
An RFA for Phase II will be released at a later date such that there will be continuity of support and no break in funding for the overall objectives proposed for this activity. The Phase II application will consist of detailed methods, outcome evaluation and costs of implementing the Infrastructure Improvement Plan. This plan will be expected to focus on activities that include: (1) Recruiting tenure-
track or tenured scientists to create a critical mass of researchers in the selected area(s) of research. Junior scientists should be provided with at least two years of support (supplies, equipment, lab space, etc.) to enable them to start their research career. (2) Supporting "magnet" investigators who can attract postgraduate trainees and other outstanding scientists to the institution. "Magnet" investigators may be new recruits to the institution or may be existing investigators who need support to free time for mentorship. (3) Creating or improving the institutional infrastructure, including the purchase of equipment, costs for shared resources and other related activities. (4) Establishing intra- and inter-institutional links to enhance the research program, including the development of shared research cores with collaborating institutions. (5) Developing research training and career development programs for faculty and students. (6) Performing an evaluation and preparing a final report after completion of Phase II. The report will detail exactly what was done during the years of -
support and how the institution plans to continue its efforts after the award is completed. Support will be provided for administrative costs to manage the project, such as salaries for key personnel and supplies to support the administrative work. No funds can be used for either construction of new facilities or renovation of existing facilities. Phase II awards can be approximately $1 million direct costs for each of two consecutive years. Institutions can apply for the Phase II awards if they have not received a Phase I planning award. However, the Phase II application MUST be based on an assessment of critical research infrastructure needs and a detailed Infrastructure Improvement Plan developed by the applicant as outlined in this RFA for Phase I. By the completion of the three-year funding period for Phases I and II, grantees will be expected to have strengthened their capability to proceed with the submission of scientifically meritorious grants in the identified specific research area(s), to have established partnerships or collaborations with other academic institutions (either within or outside their particular university), and to have initiated or strengthened existing research training and career development programs relevant to the mission of the NIDCR. MECHANISM(S) OF SUPPORT
This RFA is for Phase I and will use the NIH R24 award mechanism. As an applicant you will be solely responsible for planning, directing, and executing the proposed project. The anticipated award date is July 1, 2003. Unsolicited, competing-continuation applications based on this project will compete with all investigator-initiated applications and will be reviewed according to the customary peer review procedures. This RFA uses just-in-time concepts. It also uses the non-modular budgeting format. (see http://grants.nih.gov/grants/funding/modular/modular.htm) because a detailed, categorical budget is needed for purposes of review. FUNDS AVAILABLE
The NIDCR intends to commit approximately $1,500,000 in FY 2003 to fund up to ten new Phase I grants in response to this RFA. An applicant may request a project period of up to twelve months and a budget for direct costs of up to $100,000. Because the nature and scope of the proposed projects will vary by application, it is anticipated that the size of each grant also will vary. Although the financial plans of the NIDCR provide support for this program, awards pursuant to this RFA are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications. This Planning Phase RFA may be reannounced in FY 2004. If so, up to ten new Phase I grants may be awarded in FY 2005. ELIGIBLE INSTITUTIONS Only dental institutions that received LESS THAN $6 MILLION from the NIDCR in FY 2001 are eligible to submit an application. This information can be obtained from the internet at www.nidcr.nih.gov/research/supportedSchools/rank2001dental.htm. The applicant Institution is encouraged to propose collaborative affiliations with other entities, including dental, medical, public health, engineering and graduate institutions. The collaboration can be with entities from within the parent institution as well as outside institutions and should be for the purpose of facilitating and addressing the objectives outlined in this RFA. INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS
The Institution should designate a Principal Investigator who preferably is a faculty member with NIH research funds or a senior official, such as Associate Dean/Director for Research. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are encouraged to serve as a Principal Investigator. SPECIAL REQUIREMENTS
There are a number of Special Requirements and Provisions that each institution MUST comply with: o Where applicable, NIDCR encourages applicants to build on existing research projects and training and career development opportunities developed from NIDCR or NIH funded grants.
o The R24 application MUST include a "Letter of Commitment" from the Institutional leadership (e.g., Health Science Center President or University Chancellor). The letter should detail the resources the institution is willing to provide during at least Phase I. For example, the Institution may contribute resources in terms of released time for the PI and support for clerical and administrative personnel, travel, consultants and meetings. o For each collaborative partner there must be written "Letters of Commitment" from a senior official of the institution illustrating the type of support to ensure that these partnerships will have the maximum chance for success.
We encourage written, email and telephone inquiries concerning this RFA, particularly early in the application development process. Inquiries may fall into three areas: programmatic, peer review, and financial or grants management issues:
o Direct your questions about programmatic issues to: Dr. James A. Lipton
National Institute of Dental and Craniofacial Research 45 Center Drive, Room 3AS-37J
Telephone: (301) 594-2618
Email: James_Lipton@nih.gov
o Direct your questions about peer review issues to: Dr. George Hausch
Division of Extramural Activities National Institute of Dental and Craniofacial Research 45 Center Drive, Room 4AN-44F
Mr. Kevin Crist
National Institute of Dental and Craniofacial Research 45 Center Drive, Room 4AN-44F
Bethesda, MD 20892-6402 Telephone: (301) 594-4800
Fax: (301) 402-1517
Prospective applicants are asked to submit a letter of intent that includes the following information: o Descriptive title of the proposed project
o Names of other key personnel that will be involved in the project
Although a letter of intent is not required, is not binding and does not enter into the review of a subsequent application, the information that it contains allows NIDCR staff to estimate the potential review workload and plan the review. The letter of intent is to be sent by the date listed at the beginning of this document. The letter of intent should be sent to: Dr. George Hausch
Division of Extramural Activities National Institute of Dental and Craniofacial Research 45 Center Drive, Room 4AN44F
Phase I (the Planning Phase) has two specific parts that must be addressed in the application. The first part of the application shall consist of a plan to complete an Assessment of Critical Needs to improve the research infrastructure. The second part of the application should describe how the Infrastructure Improvement Plan will be developed. The Infrastructure Improvement Plan developed as a result of this award will serve as the basis for preparation of the Phase II application. NIDCR encourages pre-application consultations with NIDCR staff. In addition, there may be several regional meetings held by NIDCR staff to which interested faculty, students and research administrators will be invited. Topics to be discussed include science opportunities, NIDCR portfolio and priorities, current and future research initiatives, training opportunities and programs, and this RFA. Allowable Costs
Support may be requested for, but is not limited to, the following: o Costs for conducting the Assessment of Critical Needs and for developing the Infrastructure Improvement Plan
o Administrative costs for general management, such as salaries for key personnel and supplies to support the administrative work. o Costs for travel and per diem of key personnel for internal and external activities, such as technical assistance and expenses for workshops, seminars, retreats, focus groups and other forums to perform the Assessment of Critical Needs and identify new research areas of opportunity and high priority, o Costs for staff, supplies and services related to the development and preparation of the Infrastructure Improvement Plan that will be submitted to the NIDCR as part of the Phase II application. o Costs for consultants who can help in the development of the institutional plan.
A detailed statement by the key leadership of the parent university or health science center should be provided as to the specific financial resources committed by the Institution for all necessary activities in Phase I.
NIDCR funds cannot be used for pilot research projects or construction and/or renovation of research facilities. USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/01) application form must be affixed to the bottom of the face page of the application. Type the RFA number on the label. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the RFA title and number must be typed on line 2 of the face page of the application form and the YES box must marked. The RFA label is also available at: http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.
SENDING AN APPLICATION TO THE NIH: 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 additional copies and all appendix material of the application must also be sent to: Dr. George Hausch
Bethesda, MD 20892-6402 APPLICATION PROCESSING: Applications must be received by the application receipt date listed in the heading of this RFA. If an application is received after that date, it will be returned to the applicant without review. The Center for Scientific Review (CSR) will not accept any application in response to the RFA that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. The CSR will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an Introduction addressing the previous critique. Applications must meet all eligibility requirements as described above and must address all programmatic requirements (see SPECIAL REQUIREMENTS above) in the RFA. PEER REVIEW PROCESS Upon receipt, applications will be reviewed for completeness by the CSR and responsiveness to eligibility requirements and responsiveness to the Special Requirements and Provisions by the NIDCR. Incomplete and/or non-responsive applications will be returned to the applicant without further consideration. Applications that are complete and responsive to the RFA will be evaluated for scientific and technical merit by an appropriate peer review group convened by the Division of Extramural Activities (DEA) at NIDCR in accordance with the review criteria stated below. As part of the initial merit review, all applications will: o Receive a written critique
o Receive a second level review by the National Advisory Dental and Craniofacial Research Council.
REVIEW CRITERIA For this RFA, the review criteria are not organized under the traditional headings of Significance, Approach, Environment, Investigator and Innovation typically used for NIH research grants. Reviewers will have to use considerable flexibility in determining the merit of a broad range of possibilities that can strengthen the research capabilities of dental schools, expand training and career development opportunities for faculty and students, and increase the effectiveness of dental schools in establishing partnerships or collaborations with other institutions. A well-prepared application should reflect a close, effective interaction between the Principal Investigator, the School"s leadership and the faculty.
A key aspect of the review involves the level of institutional support to ensure achievement of objectives of this RFA, as indicated by: o Assurances of direct support and, specifically, the adequacy of the resources that the dental school and the collaborators/partners will provide to promote the successful achievement of the priorities and objectives of this partnership. o Letters of support and the degree to which the letters of support from the institutional leaders address the need for mentoring of faculty inexperienced in research who will serve as future investigators or for specific institutional commitments to ensure the success of the collaboration.
o The level of authority of institutional officials (e.g., university Chancellor or health science center President) committing to this effort and collaborators/partners that gives confidence that these commitments will be stable and long lasting.
o The degree to which the letters of commitment from the leadership of the dental school and the collaborators/partners address and fully support the priorities and objectives of the implementation plan of the partnership. o Evidence that this initiative will continue after grant support has ended.
Phase I, Part 1: The criteria that will be used to evaluate this part of the application include the adequacy of plans that describe how the Assessment of Critical Needs will be done. This is indicated by:
o The process and methods that are proposed to assess institutional needs, opportunities and the capacity to conduct research, o The rationale for selection of a particular area(s) of research for enhancement, and
o Acknowledgment of potential problems and consideration of alternatives. Phase I, Part 2: The criteria that will be used to evaluate this part of the application include:
o Qualifications of project personnel
o Appropriateness of research focus
o Adequacy of the proposed process and methods for developing the Infrastructure Improvement Plan o Appropriateness of all proposed costs.
For the Phase I activity, the following schedule will be followed:
Application Receipt Date: December 17, 2002 Peer Review Date: February-March, 2003
Criteria that will be used to make award decisions for Phase I include: o Technical merit of the plan (as determined by peer review)
All applications and proposals for NIH funding must be self-contained within specified page limitations. Unless otherwise specified in a 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. Furthermore, we caution reviewers that their anonymity may be compromised when they directly access an Internet site. 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 RFA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.
This program is described in the Catalog of Federal Domestic Assistance No. 93.121 (NIDCR) Oral Diseases and Disorders Research Awards and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency Review. Awards are made under authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and administered under NIH grants policies described at http://grants.nih.gov/grants/policy/policy.htm and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. The PHS strongly encourages all grant recipients to provide a smoke-
APPENDIX - Definition of several terms used in this RFA
Research Infrastructure: For this RFA, critical research infrastructure is defined as hiring, supporting and mentoring clinical, basic, translational or behavioral research investigators in tenure-track (or equivalent) positions, recruiting outstanding experienced scientists for tenured positions, retraining senior scientists as necessary, and providing a well-
organized biomedical research environment that includes technical support personnel, appropriate equipment, supplies, shared resources, and inter- and intra-institutional linkages. Assessment of Critical Needs:
The development of a process to evaluate the institution"s current research situation and critical infrastructure and then performing a needs assessment in a specific area(s) of research. The assessment will serve as the basis for developing an Institutional Infrastructure Improvement Plan. Infrastructure Improvement Plan:
A plan to improve the institution"s capacity for conducting state-of-
the-art research through enhancing the research infrastructure. The detailed Infrastructure Improvement Plan developed in Phase I will be the basis for the Phase II application. Therefore, the Infrastructure Improvement Plan should NOT be included in the Phase I application. The phase I planning application should describe how funds will be used to DEVELOP the detailed Infrastructure Improvement Plan.
Support provided by the institution or parent university/health science center for the development of the dental school"s research infrastructure and enhancement of the school"s capacity to carry out research throughout the project funding period and beyond the award. The Institution may contribute resources in terms of released time for the PI and support for clerical and administrative personnel, travel, consultants and meetings, faculty support, core facilities and space, equipment, etc.
Institutional Planning Committee:
A committee comprised of staff from the dental school that must be formed during Phase I, Part 1. This Committee will have responsibility for assisting the Program Director in conducting the Critical Needs Assessment and in developing the Infrastructure Improvement Plan.
Committee composed of distinguished senior scientists from outside the dental school. It should be organized and will assist during Phases I and II by providing independent external consultant expertise.