National Institutes of Health (NIH)
This Funding Opportunity Announcement (FOA) is developed as a Common Fund initiative (http://commonfund.nih.gov/) through the Office of Strategic Coordination, Division of Program Coordination, Planning, and Strategic Initiatives, Office of the NIH Director (http://dpcpsi.nih.gov/osc/). This FOA will be administered by the National Institute on Aging (http://www.nia.nih.gov/) on behalf of the NIH.
Funding Opportunity Title
R01 Research Project Grant
Funding Opportunity Announcement (FOA) Number
Catalog of Federal Domestics Assistance (CFDA) Number(s)
This Funding Opportunity Announcement (FOA) solicits research (R01) applications from institutions/organizations proposing to advance knowledge on the economics of long-term care (LTC), including topics related to private and public LTC insurance, the Community Living Assistance Services and Supports (CLASS) program, and related topics. The FOA is a component of the Common Fund initiative on Health Economics for Health Care Reform (http://nihroadmap.nih.gov/healtheconomics).
November 12, 2010
Open Date (Earliest Submission Date)
December 18, 2010
Letter of Intent Due Date
December 18, 2010
Application Due Date(s)
January 18, 2011, by 5:00 PM local time of applicant organization.
AIDS Application Due Date(s)
Scientific Merit Review
Advisory Council Review
Earliest Start Date(s)
September 1, 2011
January 19, 2011
Due Dates for E.O. 12372
Required Application Instructions
It is critical that applicants follow the instructions in the SF 424 (R&R) Application Guide except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.
Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information
Preparing for the possibility of future impairment and potentially high expenses from long-term care (LTC) services is a challenge that many individuals face. Currently, elderly and disabled persons finance LTC services a variety of ways, such as drawing on personal savings, using private insurance policies, or receiving assistance from public programs such as Medicare and Medicaid. In many cases, LTC services are donated by family or friends, often for prolonged periods, and for those who provide informal care, the personal and economic costs can be great.
At first glance, the risk of long-term care expenses appears to be an example of the type of risk from which individuals would seek to protect themselves by purchasing an insurance policy. Most people face some risk of needing long-term care in the future, and services such as nursing home care are quite expensive. Basic economic theory suggests that risk-averse individuals can maximize their well-being across uncertain states of the world by insuring against potentially large financial losses. However, very few elderly or nonelderly persons purchase private insurance policies that would cover the costs of long-term care such as nursing home or home care services, and many lack sufficient savings to finance adequate long-term care in the event that it is needed. Consequently, long-term care represents a substantial uninsured financial risk in the United States.
The risk of needing long-term care affects the economic decisions of individuals over their entire working lifetimes and across generations. (Long-term care in this context includes care delivered in a variety of settings, ranging from informal care home health care and community based programs to care in institutional setting such as nursing homes.) For adults who anticipate the need for LTC, the availability of means-tested public insurance programs can affect those individuals’ choices concerning savings and bequests. For informal caregivers, the need to provide assistance to family members can affect their own choices about participating in the labor force. As the percentage of elderly persons in the population continues to rise in the coming years, the economic importance of LTC is likely to rise as well.
The Patient Protection and Affordable Care Act created a new program intended to provide consumers with the opportunity to obtain protection from financial losses due to the need for LTC services. The Community Living Assistance Services and Supports (CLASS) program is a voluntary LTC insurance plan that would provide modest cash benefits that could be used to defray the costs of care in community or institutional settings. After paying premiums for five years, enrollees who meet certain disability criteria are eligible to receive cash benefits based on the degree of disability (no less than $50 per day). The new program offers the potential to reduce the exposure to financial risk that elderly and disabled people face, though significant challenges remain in implementing the program.
This Funding Opportunity Announcement (FOA) solicits research on the economics of long-term care, including topics related to the CLASS program, private and public LTC insurance, and related topics. The specific topics discussed below are examples of some of the areas of research that would be supported by this FOA.
Factors Influencing the Decision to Purchase LTC Insurance
Economic research has identified a number of factors in the insurance market which could potentially explain why so few private LTC insurance policies are purchased. One possibility is that it is difficult to underwrite LTC insurance because only those who are most likely to incur high LTC costs would purchase such coverage (adverse selection). Another potential explanation is that the availability of public insurance through the Medicaid program makes purchasing LTC insurance unattractive to persons with modest wealth. It has also been suggested that many individuals incorrectly believe that Medicare generally covers LTC expenses, though Medicare in fact only covers certain expenses associated with acute care hospitalizations. This FOA encourages research that would add to knowledge on factors contributing to the availability of LTC insurance and the decision to purchase it.
Implementing the CLASS Program
The CLASS program does not create a new entitlement financed by taxes. Instead, it offers cash benefits for those needing LTC in exchange for premiums paid by the consumer. The legislation calls for between two and six benefit levels, but does not specify either the number of levels or the amount of the benefit. Unlike some public insurance programs in other countries, CLASS does not require individuals to participate, and with no medical underwriting to exclude them, people with a high likelihood of needing benefits might disproportionately enroll in the program. One potential problem is that a selectively high-risk group of enrollees could drive up premiums and create what economists call an “insurance spiral”. To address that problem, the program is limited to persons who work, and enrollees must pay premiums for five years before receiving benefits. This FOA encourages research that would inform the ways in which CLASS can be best implemented. Examples include, but are not limited to, research which would estimate the optimal levels for premiums and cash benefits, and optimal numbers of benefit tiers.
Effects on Informal Caregivers
Providing care to family members with disabilities can be personally and economically costly. For example, many informal caregivers such as spouses or adult children might base their labor market participation decisions at least partly on the amount of care that they anticipate having to provide. As the percentage of elderly persons in the population rises, an associated rise in the demand for informal LTC could cause increasing numbers of persons to limit their work, decreasing their earnings. On the other hand, if an elderly person purchases some form of LTC insurance—either through the CLASS program or in the market for private LTC insurance—then it might become less likely that family members would base their work choices on the need to provide care. This FOA encourages research on the possible effects of changes in the LTC insurance market on the incentives facing informal caregivers, broadly speaking.
Nature of the Research Opportunity
This initiative is funded through the NIH Common Fund (http://commonfund.nih.gov/), which supports cross-cutting programs that are expected to have exceptionally high impact. All Common Fund initiatives invite investigators to develop bold, innovative, and often risky approaches to address problems that may seem intractable or to seize new opportunities that offer the potential for rapid progress.
This initiative is part of the Common Fund program in Health Economics, designed to address the evolving needs of the health care sector for economic research. This program is planned to include multiple Funding Opportunity Announcements on topics related to reform of health care in the United States, with funding expected to total $68 million across seven years. For more information please see http://commonfund.nih.gov/healtheconomics/ .
Application Types Allowed
The OER Glossary and the SF 424 (R&R) Application Guide provide details on these application types.
Funds Available and Anticipated Number of Awards
The number of awards is contingent upon NIH appropriations, and the submission of a sufficient number of meritorious applications.
NIH intends to fund an estimate of 3-4 awards, corresponding to a total of $1.4 million, for fiscal year 2011. Future year amounts will depend on annual appropriations.
Application budgets are not limited, but need to reflect actual needs of the proposed project.
Award Project Period
Project can last up to 5 years
NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.
Higher Education Institutions:
The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:
Nonprofits Other Than Institutions of Higher Education
For profit Organizations
Foreign (non-U.S.) components of U.S. Organizations are allowed.
Applicant organizations must complete the following registrations
as described in the SF 424 (R&R) Application Guide to be eligible to apply
for or receive an award. Applicants must have a valid Dun and Bradstreet
Universal Numbering System (DUNS) number in order to begin each of the following
All Program Directors/Principal Investigators (PD/PIs) must
also work with their institutional officials to register with the eRA Commons
or ensure their existing eRA Commons account is affiliated with the eRA Commons
account of the applicant organization.
All registrations must be completed by the application due date. Applicant organizations are strongly encouraged to start the registration process at least four (4) weeks prior to the application due date.
Any individual(s) with the skills, knowledge, and resources
necessary to carry out the proposed research as the Project Director/Principal
Investigator (PD/PI) is invited to work with his/her organization to develop an
application for support. Individuals from underrepresented racial and ethnic
groups as well as individuals with disabilities are always encouraged to apply
for NIH support.
For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF 424 (R&R) Application Guide.
This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.
Applicant organizations may submit more than one application, provided that each application is scientifically distinct.
NIH will not accept any application in response to this FOA that is essentially the same as one currently pending initial peer review unless the applicant withdraws the pending application. NIH will not accept any application that is essentially the same as one already reviewed.
Applicants must download the SF424 (R&R) application package associated with this funding opportunity using the “Apply for Grant Electronically” button in this FOA or following the directions provided at Grants.gov.
It is critical that applicants follow the instructions in the SF424 (R&R) Application Guide, except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.
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 IC staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:
Descriptive title of proposed research
Name, address, and telephone number of the PD(s)/PI(s)
Names of other key personnel
Number and title of this funding opportunity
The letter of intent should be sent to:
Colin S. Baker, Ph.D.
National Institute on Aging
National Institutes of Health
Suite 533 Gateway Building
7201 Wisconsin Avenue
Bethesda, Maryland 20892-9205
Use Zip Code 20814 for FedEx
The forms package associated with this FOA includes all applicable components, mandatory and optional. Please note that some components marked optional in the application package are required for application submission. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete all appropriate “optional” components.
All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed
All instructions in the SF424 (R&R) Application Guide must be followed.
Resource Sharing Plan
Individuals are required to comply with the instructions for the Resource Sharing Plans [Data Sharing Plan, Sharing Model Organisms, and Genome Wide Association Studies (GWAS)] as provided in the SF424 (R&R Application Guide), with the following modifications:
Do not use the appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.
Foreign (non-US) organizations must follow policies described in the NIH Grants Policy Statement, and procedures for foreign organizations described throughout the SF424 (R&R) Application Guide.
Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit in advance of the deadline to ensure they have time to make any application corrections that might be necessary for successful submission.
Organizations must submit applications via Grants.gov, the online portal to find and apply for grants across all Federal agencies. Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.
Applicants are responsible for viewing their application in the eRA Commons to ensure accurate and successful submission.
Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.
This initiative is not subject to intergovernmental review.
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
Pre-award costs are allowable only as described in the NIH Grants Policy Statement.
Applications must be submitted electronically following the instructions described in the SF 424 (R&R) Application Guide. Paper applications will not be accepted.
Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.
For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically.
All PD/PIs must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.
The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the Central Contractor Registration (CCR). Additional information may be found in the SF424 (R&R) Application Guide.
See more tips for avoiding common errors.
Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review and responsiveness by components of participating organizations, NIH. Applications that are incomplete and/or nonresponsive will not be reviewed.
Applicants are required to follow the instructions for post-submission materials, as described in NOT-OD-10-115
Only the review criteria described below will be considered in the review process. As part of the NIH mission, all applications submitted to the NIH in support of biomedical and behavioral research are evaluated for scientific and technical merit through the NIH peer review system.
Reviewers will provide an overall impact/priority score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following review criteria and additional review criteria (as applicable for the project proposed).
Reviewers will consider each of the review criteria below in the determination of scientific merit, and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.
Does the project address an important problem or a critical barrier to progress in the field? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?
Are the PD/PIs, collaborators, and other researchers well suited to the project? If Early Stage Investigators or New Investigators, or in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?
Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?
Are the overall strategy, methodology, and analyses
well-reasoned and appropriate to accomplish the specific aims of the project?
Are potential problems, alternative strategies, and benchmarks for success
presented? If the project is in the early stages of development, will the
strategy establish feasibility and will particularly risky aspects be
If the project involves clinical research, are the plans for 1) protection of human subjects from research risks, and 2) inclusion of minorities and members of both sexes/genders, as well as the inclusion of children, justified in terms of the scientific goals and research strategy proposed?
Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?
As applicable for the project proposed, reviewers will evaluate the following additional items while determining scientific and technical merit, and in providing an overall impact/priority score, but will not give separate scores for these items.
Protections for Human Subjects
For research that involves human subjects but does
not involve one of the six categories of research that are exempt under 45 CFR
Part 46, the committee will evaluate the justification for involvement of human
subjects and the proposed protections from research risk relating to their
participation according to the following five review criteria: 1) risk to
subjects, 2) adequacy of protection against risks, 3) potential benefits to the
subjects and others, 4) importance of the knowledge to be gained, and 5) data
and safety monitoring for clinical trials.
For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Human Subjects Protection and Inclusion Guidelines.
Inclusion of Women, Minorities, and Children
When the proposed project involves clinical research, the committee will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children. For additional information on review of the Inclusion section, please refer to the Human Subjects Protection and Inclusion Guidelines.
The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.
Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.
As applicable for the project proposed, reviewers will consider each of the following items, but will not give scores for these items, and should not consider them in providing an overall impact/priority score.
Applications from Foreign Organizations
Reviewers will assess whether the project presents special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions that exist in other countries and either are not readily available in the United States or augment existing U.S. resources.
Select Agent Research
Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).
Resource Sharing Plans
Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: 1) Data Sharing Plan; 2) Sharing Model Organisms; and 3) Genome Wide Association Studies (GWAS).
Budget and Period of Support
Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by the Center for Scientific Review (assignments will be shown in the eRA Commons), in accordance with NIH peer review policy and procedures, using the stated review criteria.
As part of the scientific peer review, all applications:
Applications will be assigned to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications submitted in response to this FOA . Following initial peer review, recommended applications will receive a second level of review by the appropriate national Advisory Council or Board . The following will be considered in making funding decisions:
After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons.
Information regarding the disposition of applications is available in the NIH Grants Policy Statement.
If the application is under consideration for funding, NIH
will request "just-in-time" information from the applicant as
described in the NIH Grants
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee business official.
Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.
Any application awarded in response to this FOA will be subject to the DUNS, CCR Registration, and Transparency Act requirements as noted on the Award Conditions and Information for NIH Grants website.
All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities. More information is provided at Award Conditions and Information for NIH Grants.
Cooperative Agreement Terms and Conditions of Award
When multiple years are involved, awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement.
The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.
We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.
GrantsInfo (Questions regarding application instructions and
process, finding NIH grant resources)
eRA Commons Help Desk(Questions regarding eRA Commons
registration, tracking application status, post submission issues)
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
Colin S. Baker, Ph.D.
National Institute on Aging (NIA)
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Division of Epidemiology and Prevention Research
Sarah Q. Duffy, Ph.D.
Associate Director for Economics Research
Division of Epidemiology, Services, and Prevention Research
National Institute on Drug Abuse
John Haaga, Ph.D.
National Institute on Aging
David Clark, Dr.P.H.
National Institute of Dental and Craniofacial Research (NIDCR)
Behavioral and Social Sciences Research Branch
Karen Huss, Ph.D., R.N., A.P.R.N.-B.C.
National Institute of Nursing Research
Division of Extramural Activities
Valerie L. Durrant, Ph.D.
Chief, Population Sciences and Epidemiology (PSE) Integrated Review Group
Center for Scientific Review, NIH
6701 Rockledge Drive, Room 3136, MSC 7770
Bethesda, MD 20892-7770 (20817 for Fed Ex/delivery)
Email : firstname.lastname@example.org
National Institute on Aging(NIA)
Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
Office of Extramural
National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
Department of Health
and Human Services (HHS)
Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.