The Agency for Healthcare Research and Quality (AHRQ) supports dissertation research undertaken as part of an academic program to earn a research doctoral degree. Through this program, AHRQ seeks to expand the number of researchers who address its mission "to improve the quality, safety, efficiency and effectiveness of health care for all Americans."
Many potential applicants are relatively new to research, and may need technical assistance in preparing grant applications (which are to be completed using the Public Health Service Grant form (PHS 398, revised 9/03). The application form can be found at: http://grants.nih.gov/grants/funding/phs398/phs398.html.
The following information will be beneficial to students in preparing their applications. It is also very important to obtain faculty input and advice on preparation of applications.
Receipt Dates
Applicant Eligibility
Topic Selection
Application Preparation and Submission
Forms
Responsiveness
Resubmissions
Face Page Completion
Completion of Enrollment Format Pages
Inclusion of Priority Populations
Dissertation Committee: Composition and Letters of Support
Biosketches
Budget
Other Support
Research Plan
Format Specifications
Application Review
Funding Decisionmaking
Additional HHS Sources of Dissertation Support
What are the application receipt dates?
The receipt dates are as follows: January 15, 2004; June 15, 2004; and October 15, 2004.
Thereafter they will be February 17, June 15, and October 15 annually.
Must applications be submitted or received by the receipt dates?
All applications must be postmarked by the appropriate receipt date.
If the application receipt date falls on a Sunday, when will the application need to be postmarked (the previous Saturday or the following Monday)?
The following Monday.
Am I allowed to work part-time during my dissertation research?
To qualify for a dissertation award, you are expected to devote a minimum of 40 hours per week to your dissertation research. This is expected to be your principal activity. You may be involved in additional teaching, research, or clinical care activities on a part-time basis, which cannot exceed 20 hours per week. A statement affirming these time commitment plans must be submitted with the budget justification.
Am I eligible to apply if I have other student support?
Yes, depending on the source of the "other support" and its intended use. Any support provided by other sources cannot be duplicative of costs covered by the AHRQ grant or in violation of the applicant's institutional guidelines.
If you are supported under a T32 institutional training program or F31 award (Ruth L. Kirschstein National Research Service Award predoctoral fellowships) you are also eligible to apply for a dissertation award. However, no funds from the R36 dissertation award may be used to supplement the stipend paid by the F31 or T32 mechanism.
Am I eligible to apply if I also have pending or intend to concommitantly submit a fellowship, dissertation, or small research grant application to another Federal entity, such as the National Institutes of Health (NIH)?
NIH applications are submitted through its Center of Scientific Review (CSR), which also receives AHRQ applications. The CSR and AHRQ will not accept any application in response to this PA that is essentially the same as one currently pending initial review unless the applicant withdraws the pending application. The CSR and AHRQ will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of a distinctly different application or a substantial revision of an application already reviewed, but such application must include an Introduction addressing the previous critique.
Am I eligible to apply for dissertation support if I am not an American citizen?
You must be a U.S. citizen, non-citizen national (e.g., residents of U.S. territories), or permanent resident by the time of award.
Am I eligible to apply if I am a U.S. citizen applying from a foreign institution?
Yes, however it must be the institution from which you are pursuing your research doctoral studies and the application should be written in English. You must demonstrate the relevance of the proposed research, if international in scope, to the U.S. healthcare delivery system.
Must I have formal review and approval of my dissertation research proposal by my faculty advisory committee in order to submit a dissertation grant application?
To be eligible to apply for the dissertation grant, all non-dissertation requirements (and non-clinical internship requirements) for your degree, with the exception of the defense and approval of your dissertation by your committee must be completed by the application deadline.
The defense and approval of your dissertation by your committee must be submitted to the Division of Scientific Review (DSR) staff (noted under Inquiries in the PA) within 60 days of the appropriate application submission date. The letter from your faculty advisor should certify the following: the faculty review committee has approved the dissertation proposal; you have the interest and potential to make a contribution as a future health services researcher; the institutional infrastructure exists to support your dissertation research project; the grant application coincides with the actual dissertation project; a collaboration has been established between you and the faculty review committee to develop and conduct the dissertation, and you have completed all requirements for the doctoral degree, other than the dissertation. If these conditions are not in place and returned to the Division of Scientific Review within the 60 days of the appropriate submission date, your application will be withdrawn and returned to you. You can apply for the next submission date.
Is my research topic suitable for the Grants for Health Services Dissertation Research and the research interests of AHRQ?
The mission of AHRQ is to improve the quality, safety, efficiency, and effectiveness of health care for all Americans. The research sponsored and conducted by the Agency provides better information that enables better decisions about health care. Research that promotes the improvement of health care quality will be the Agency's highest priority during the next few years. Accordingly, the Agency has identified the following strategic goals and research priorities, each of which will contribute to improving the quality of health care for all Americans. Research applications must address one of these areas:
Details on each of these can be found in the program announcement AHRQ Grants For Health Services Research Dissertation, PAR-04-039, released on December 16, 2003. Further information on AHRQ's general research areas of interest is available on the AHRQ Web Site's Funding Opportunities page. For a description of recent research topics of interest to the Agency, applicants are encouraged to review the following research solicitations:
Dissertation applicants are further encouraged to address health services research issues critical to priority populations, including: individuals living in inner city and rural (including frontier) areas; low-income and minority groups; women, children, and the elderly; and individuals with special health care needs, including those with disabilities and those who need chronic or end-of-life health care. For more information, go to grants.nih.gov/grants/guide/notice-files/NOT-HS-03-010.html.
If you still have questions regarding the suitability of your research topic, please send a short paragraph or abstract that describes your study to the Dissertation Project Officer via E-mail at: training@ahrq.gov. Further, although your topic may be of interest to the Agency, it is important to keep in mind that the Agency has multiple interests, and no one specific area has priority over another. All applications undergo peer review and submission of a topic of interest does not mean that an application will be funded.
Are topics focusing on international health services research, conducting research in an international country, or using international data of interest?
Research topics may involve the conduct of research in a foreign country or use of international data. However, in such cases, it is important to demonstrate the relevance of the proposed research to the U.S. healthcare delivery system.
Does AHRQ have an interest in receiving applications using qualitative research methods?
AHRQ receives and supports applications that use either or both qualitative and quantitative methods. All methods undergo rigorous review with input from appropriate expertise. The project should select a research method suitable to addressing the question/issue/hypothesis as posed in the application (e.g., qualitative methods may be inappropriate for hypothesis testing as opposed to hypotheses generating). It is also essential to thoroughly describe how the methodology will be employed.
Which instructions take precedence, the ones outlined in the PHS 398 packet or the ones described in the AHRQ Grants For Health Services Research Dissertation, PAR-04-039, program announcement?
General instructions provided in the PHS 398 kit should be followed. However, specific instructions highlighted in the dissertation program announcement should also be addressed. Further, the latter take precedent in situations in which they differ from those contained in the PHS 398 packet (e.g., maximum page length of the research plan).
The program announcement states "Applications judged by staff to be non-responsive to this program announcement will be returned without review." What is meant by "non-responsive"?
A nonresponsive application is one that either: does not properly follow the instructions described in the PHS 398 kit or the dissertation announcement when completing the application; and/or is not focused in the area of health services research. As discussed in the section on Topic Selection, the mission of AHRQ is to support, conduct, and disseminate research that improves access to care and the outcomes, quality, cost, and utilization of healthcare services to enable better decisions about healthcare.
Are resubmissions allowed, if an application is not funded at the first submission?
Yes. AHRQ will accept one amended resubmitted application for all applications originally submitted as of January 15, 2004, or later. When submitting an amended (revised) application the Introduction section must be limited to one page.
These questions pertain to principal investigator (PI) designation, response to specific request for applications or program announcement (line 3), human subjects involvement, and IRB approval.
Who is designated PI on a dissertation grant application—the doctoral student or his/her advisor?
The doctoral student conducting the planned dissertation research should be designated as the PI.
What do I put on line 3 of the Face Page, which asks for information on the "Request for Applications?"
Insert "Grants for Health Services Dissertation Research" (PA: PAR-04-039).
Does my research include human subjects?
You must appropriately designate on the "Face Page" whether or not your proposed research includes human subjects. Many applicants fail to do so. Please read carefully the instructions provided with the 398 form and discuss the issue with faculty members. Any interaction with humans (e.g., interviews, focus group discussions) or use of data on humans (e.g., primary or secondary data) involves human subjects, even if the respondents are not patients (e.g., providers, administrators, students, etc.). If the research involves human subjects, the appropriate box must be checked on the face page, and IRB approval or an appropriate exemption designated (as determined by your institution's appropriate authorizing official). In addition, the text of the application, following the research plan must discuss issues related to human subjects as noted in the PHS 398 instructions (e.g., privacy, confidentiality, etc.).
Must Institutional Review Board (IRB) approval be obtained by the time of application submission?
As indicated in the PHS 398, IRB approval and certification of the proposed research is not required prior to the peer review of an application. The peer review group does carefully consider protections from research risks during the review of the application. Therefore, you must thoroughly address human subjects in your application, whether there is an exemption or not. IRB approval would be necessary before funding would occur.
If I am applying as an individual (versus an institution), who signs off under proposed Sponsoring Institution (line 13) and Business Office (line 14)?
Please insert your own signatures in these spaces.
Is it necessary for me to complete the Targeted/Planned Enrollment Format Page and the Inclusion Enrollment Report Format Page?
Yes, it is necessary to complete the Targeted/Planned Enrollment page and the Inclusion Enrollment Report page. Whether or not you include priority populations in your proposal, it still needs to be addressed thoroughly.
Do applicants need to address requirements of including priority populations in their proposed research?
Dissertation applicants are encouraged to address health services research issues critical to AHRQ's priority populations, including:
Further, it is the policy of AHRQ that women and members of minority groups be included in all AHRQ-supported research projects involving human subjects, unless a clear and compelling rationale and justification are provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. AHRQ also encourages investigators to consider including children in study populations, as appropriate.
Are there specific guidelines or recommendations regarding the composition of the dissertation committee?
There are no specific guidelines or recommendations regarding the composition of the dissertation committee. However, membership should reflect the appropriate clinical, interdisciplinary, methodological, and health services research skills and expertise necessary to address the proposed research.
Do I need letters of reference from my dissertation committee?
The application should include a letter from the faculty committee advisor or university official responsible for supervising the dissertation research. The content of the letter is more fully discussed in the program announcement; one part pertains to the applicant's potential as a future health services researcher and, hence, could be considered a reference.
Do biosketches of faculty members on the dissertation committee need to be provided?
Yes. They must be in the format requested in the PHS 398 and cannot exceed four pages (Items A and B cannot exceed two of the four-page limit). See PHS 398 instructions.
This section includes questions on stipend levels, "mentoring" costs, additional personnel costs, computer acquisition, travel, rebudgeting, retroactive compensation, and budget justification.
What is the allowable stipend for a doctoral student?
There is no pre-set stipend level for a doctoral student; however, it is expected that your salary request be equivalent to that of other full-time students in a similar status at your educational institution who receive research or teaching assistantships, such as National Research and Service Awards (NRSA). Current NRSA stipend levels are found in the National Research Service Award Stipend Increase at: grants.nih.gov/grants/guide/notice-files/not98-161.html.
Can dissertation "mentoring" costs be included in the budgetary request?
No. Salary support for dissertation committee members cannot be requested, even if a member is providing statistical or computer consultation.
Do I use the Modular Budget forms?
No, AHRQ does not use the Modular Budget format. You should complete Form Page 4 and 5.
Can funds be requested to cover editorial, computer programming, statistical assistance, interviewing, data assistance costs?
There is no coverage for editorial assistance. Support for computer programming and statistical assistance may be requested at a combined total level not to exceed 80 hours. Such services provided by dissertation committee members cannot be reimbursed. In "rare" circumstances support for a research assistant may be requested. It needs to be justified and approved by AHRQ staff. An example of a "rare" circumstance would be assistance needed in conducting interviews in a foreign language. An example of a request that would not be approved would be assistance with data abstraction, coding, and entry.
Is the purchase of computers, printers, and software allowable costs?
Such costs are not prohibited. However, requests must be judicious and justified, and may be disapproved. If such costs are requested, the applicant is encouraged to demonstrate, in writing from an appropriate faculty and business official, that sufficient computer access is not available through the university, and that the request is the most efficient means available (e.g., justification for the need for a laptop).
What are allowable travel expenses?
Any travel associated with data collection is allowable. Applicants can request support to attend one professional conference. Personal computer and statistical consultant service costs are allowable as long as they do not exceed 80 hours.
What needs to be addressed in the "Budget Justification?"
The rationale for requested direct costs. It is important to keep in mind that even though justification for costs are provided, they may not be reimbursed upon award. Specific guidelines related to various budgetary items are noted above.
Can applicants applying as individuals (versus through an institution) request indirect costs?
No.
Do I need to include my advisors grant support under "Other Support?"
It is not mandatory that your advisors' grant support is listed under Other Support, but it may be helpful to the peer reviewers.
Do I need to complete the "Preliminary Studies/Progress Report" section of the PHS 398 form since I am a doctorate student and do not have preliminary studies pertinent to the application?
You may use the "Preliminary Studies/Progress Report" section if you have preliminary or pilot studies to report. You may also use that section to expand your literature review in order to build a framework which demonstrates the need for the current study and/or to expand on your review committee's research experience as it ties in to your topic.
What is important to include in the "Research Design and Methods" section?
It is important that the chosen design is appropriate for the study questions and aims; also that the analytical methods are suitable to test the proposed questions and aims. Further, the application should indicate continuity across study aims, research questions and/or hypotheses, concepts, variables, and analytic approaches selected. Methodological discussions should be interwoven with the substance of the research plan and not simply stated as abstract, cookbook instructions. Important factors in the review of grant applications are the methodological strength and the infrastructure support available to an applicant who holds a promising career in health services research. An important way to demonstrate the existence of a strong infrastructure support and a promising career is in the quality of the written application. Applicants are strongly encouraged to obtain faculty guidance in the preparation of their applications.
Do I need to include a timetable in the research plan?
Although not a requisite, the inclusion of a well-constructed timetable can be useful to reviewers in assessing the feasibility of proposed study plans.
What is the page limit and type size to be used in the PHS 398 application?
As indicated in the dissertation program announcement, the Research Plan (Items a-d) may not exceed 15 pages. Citations are not included in the 15-page limit nor is the human subjects or special population section (see PHS 398 instructions).
The type size must be no smaller than 10 point (see more detailed instructions in the Public Health Service Grant Kit 398, page 6). Text is to be single-spaced.
Can I include an appendix with my application?
Only a questionnaire may be included as an appendix if it is essential to evaluate the proposal.
How will my application be reviewed?
Your application will be reviewed by a standing study section at AHRQ, the Health Care Research Training (HCRT) study section.
What is the main criterion in review—technical merit of the application or a candidate's potential as a future health services researcher?
In the written comments, reviewers will be asked to balance the technical merit of the grant application with strong emphasis placed on their assessment of the applicant's potential as a future health services research, as reflected in accompanying letters, the relevance of the written proposal, the caliber of the infrastructure to provide necessary guidance and support to the student, the dissertation chair or faculty advisor evaluation of the student, faculty biosketches, background of committee, and accompanying letters of support. Specific review criteria will include:
The scientific review group will address and consider each of these criteria in assigning an application's overall score, weighting them as appropriate for each application. A description of each of the review criteria is included in the dissertation announcement.
What factors guide funding decisionmaking?
Award criteria that will be used to make award decisions include:
Can I see a list of recent awards made by AHRQ?
You may find a listing of recent awards on the AHRQ Web site at www.ahrq.gov/fund/training/disgrants.htm. In reviewing this list, please note that the mix of applications funded (e.g., topic, methodological approach, sponsoring institution) varies depending on the types and numbers received each review cycle, the overall quality of applications received each round, and the unique quality of each application. The list should not be taken as an indication of the Agency's substantive preferences.
How many applications are funded annually? How many are reviewed each cycle? Are equal numbers supported in each round?
AHRQ supports, on average, between 15 and 20 dissertation awards annually. The exact number of applications received for review each cycle varies, but on average, approximately 55 to 75 applications are received annually. Although there is no guarantee that equal numbers of applications are supported each round (because funding is dependent primarily upon the number of high-quality applications received), the Agency ensures that adequate funds are available to support a fair number of applications each round.
Are there other sources of Federal support for health-related dissertation research?
There are a few other sources of dissertation research support within the Department of Health and Human Services. Please note they are restricted to specific interests and/or populations. Information on these grants should be obtained from their individual sponsoring organizations, and not from AHRQ. Other active sources of support, of which we are aware, include the following:
Applicants are encouraged to seek out the sources that are most applicable to their interests at the above Internet addresses. It is important to note that the same application cannot be sent to both the National Institutes of Health (i.e., NIA, NIMH) and AHRQ for review. This is not true for the Centers for Medicare and Medicaid Services (CMS). However, the applicant is obliged to indicate under "Other Support" that he/she has a pending application under review at CMS for the same work. If the applicant receives and accepts a CMS award prior to completion of review or a funding decision on the AHRQ application, it is the responsibility of the applicant to notify AHRQ immediately. The applicant cannot accept both awards.
Current as of April 2004
Internet Citation:
Questions and Answers: Health Services Research Dissertation Awards (R36). April 2004. Agency for Healthcare Research and Quality, Rockville, MD. http://www.ahrq.gov/fund/training/QAdissrt.htm
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