CATALOG OF FEDERAL DOMESTIC ASSISTANCE
CATALOG OF FEDERAL DOMESTIC ASSISTANCEObjectives: 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).
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.
Preapplication 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 http://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 http://grants1.nih.gov/grants/guide/notice-files/not97-232.html.
Renewals: Application follows same review procedures as new applications; dates for submission are indicated above. Extensions without funds can be requested.
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.
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.
Range and Average of Financial Assistance: From $5,000 to 2,000,000. Average: $250,000.
Federal Agency: NATIONAL INSTITUTES OF HEALTH, DEPARTMENT OF HEALTH AND HUMAN SERVICES (Home Page)
Type of Assistance: Project Grants.
Obligations: (Grants) FY 01 $36,755,012; FY 02 est $44,666,000; and FY 03 est $50,550,000.
Budget Account Number: 75-0807-0-1-552.
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.
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.
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. Phone: (301) 496-4621. Program Contacts: Phone: (301) 594-4882. Grants Management Contact: Grants Management Officer: Phone: (301) 496-4221. Grant Review Contact: Scientific Review Administrator. Phone: (301) 496-4253. Use the same numbers for FTS. Website: http://www.nlm.nih.gov/ep/extramural.html.
Web Site Address: http://www.nlm.nih.gov
(See Appendix IV for more contact info.)
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.
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 about 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.
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.
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Text updated: June 2002