POLICY FOR THE EMERGING RESEARCH GRANTS PROGRAM
The Letter of Intent period for the 2013 funding cycle is now closed. Check back for more information on the 2014 cycle which will open in August 2013
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July 1 - June 30
FUNDING DECISION NOTIFICATION
GRANT PAYMENT SCHEDULE
June (First payment sent with notification)
2nd & 3rd payments in November and April, respectively
I. GENERAL POLICIES AND OBJECTIVES
Hearing Health Foundation awards grants once a year for the project period of July 1-June 30. A grant represents a mutual joining of interests on the part of Hearing Health Foundation, the grantee, and his/her associated institution in the pursuit of a common objective furthering hearing and balance science.
Specifically, applications will be considered for research directed to investigation of all areas of the auditory and vestibular systems including anatomy, physiology, molecular biology, genetics, pharmacology and pathology; both fundamental and clinical research proposals are welcome. Hearing Health Foundation grants up to $25,000 per year for each research project.
Continuation of funding from year to year requires re-application; the process is competitive and depends on significant progress as demonstrated in yearly progress reports. Third year applications will not be honored except in extraordinary circumstances (e.g., the recruitment of human subjects). Priority is given to new investigators in the field of hearing and balance and to projects that are likely to open new lines of inquiry. New and innovative projects developed by established scientists will also be considered; however, established investigators may only apply for one year of support. Applicants should demonstrate experience and strong research training as well as sufficient institutional support (facilities, time, and mentorship) to carry out the proposed work. Applicants should hold the M.D., Ph.D., Au.D. or equivalent degree(s) as well as a faculty, post-doctoral, or medical residency appointment.
Graduate students are not eligible for Hearing Health Foundation grants. Applications for research continuation or bridge funding should not be submitted. Hearing Health Foundation will grant funds only for research directly related to the proposed Hearing Health Foundation project. Principal investigators concurrently receiving research support of (>$75,000 per annum research sponsorship) from any other (combined) source(s) are ineligible for Hearing Health Foundation support. Funding of pending awards during the Hearing Health Foundation award period may necessitate the return of the balance of Hearing Health Foundation award.
The Council of Scientific Trustees (CST) in conjunction with the Scientific Review Committee (SRC) of Hearing Health Foundation will consider the subject of the research, the quality of its design including the data collection and evaluation components, its potential for significant advance in basic knowledge or clinical application, the available facilities and personnel at the institution in which the research will be carried out, and the qualifications of the investigators. In accepting a research grant, the institution and the principal investigator are responsible for using grant funds only for those purposes set forth in the application and approved in Hearing Health Foundation award letter.
II. SUPPORT OF A RESEARCH PROJECT: TERMS & CONDITIONS
A. Approved Project: This is an identified activity or program approved by Hearing Health Foundation for support for a specified period of time.
B. Project Year: This is the one year period for which funding has been recommended and given. Following the first project year, applicants may apply for continuation of funding for a second project year. Third year applications will not be honored except in extraordinary circumstances (e.g., the recruitment of human subjects). If requested before the end of the initial project year by the principal investigator and approved by Hearing Health Foundation, the project year may be extended, up to one year, without additional funding. No additional extension beyond one year will be approved.
C. Project Period: This is the estimated length of time that it will take to complete the research project; it may be one year and cannot exceed three years.
D. Awards: An Award will be made in an amount estimated to be needed for one project year up to a maximum of $25,000. Upon re-application, continuation from year to year is dependent on significant progress as demonstrated in yearly progress reports. Third year applications will not be honored except in extraordinary circumstances (e.g., the recruitment of human subjects). Double dipping is not allowed.
E. Available Funds and Budget: The number of applications funded will depend on Hearing Health Foundation’s available funds.
1. Grant funds may only be used for the direct costs of carrying out approved projects such as:
a) salaries of technical and supporting personnel;
b) limited alteration and renovation of existing facilities;
c) purchase of equipment (cost of equipment should be equal to/greater than $5,000);
d) supplies including drugs and services; and
e) other specifically authorized expenses as may be essential to carrying out the project.
If an institution requires an allocation for indirect costs that amount may not exceed $2,500 (10% of the total grant award); regardless of the indirect amount, the Hearing Health Foundation award will not exceed $25,000.
2. Grant funds may not be used for the following:
a) salary of principal investigator, co-investigator or individuals with a doctorate degree;
c) living expenses;
e) overhead costs exceeding 10% of project costs; and
f) public information, education programs or training costs (including tuition).
3. The Council of Scientific Trustees and the Scientific Review Committee of Hearing Health Foundation will evaluate and approve the proposed itemized project budgets.
4. Hearing Health Foundation expects that the principal investigator, in authorizing expenditures for the research project, will follow the budget proposed and approved within the application. The investigator may transfer dollars from one budgeted category to another with specific approval from his/her institution within the categories specified by Hearing Health Foundation. Hearing Health Foundation should be notified immediately and, a revised budget and justification of changes as well as the approval from the Institution, using NIH guidelines for such approval, should be sent to Hearing Health Foundation. Any proposed change in the direction of the project must first receive written approval from Hearing Health Foundation.
5. All obligations of grant funds must be incurred within the project year. A detailed Grant Expenditures Report must be submitted to Hearing Health Foundation three months after the project year's completion. Unless otherwise authorized by Hearing Health Foundation, unexpended funds must be returned to Hearing Health Foundation with the expenditures report.
F. Publications & Publicity
1. Investigators are expected to make the results of their research promptly available to the scientific public. Acknowledgment of Hearing Health Foundation support must be made when findings are reported to scientific audiences or scientific journals or when publicity is given to a project.
2. Publications resulting from work supported in whole or in part by Hearing Health Foundation must contain a credit line to that effect. Two copies should be submitted to Hearing Health Foundation.
3. When a project is awarded, Hearing Health Foundation has the right to publish its abstract and results, when available, on its website, in its Annual Report, and through other public information vehicles.
G. Progress Reports
1. Second Year Application/Progress Report: This report must be submitted in accordance with the instructions accompanying the application form for continuing grant support. Hearing Health Foundation grantees seeking 2nd year funding, must submit an Expenditure Report with their second year grant application due mid-January each year. Applicants who do not submit an Expenditure Report will not be eligible to apply for 2nd year funding. The Scientific Review Committee will not consider continuation lacking both reports.
2. Terminal Report: This report must be submitted three months after the termination of grant support using the Terminal Progress Report.
3. Mid-Year Report: All Hearing Health Foundation grantees are required to submit a mid-year grant report by mid-January of the award cycle. If your mid-year report is late or not submitted, final payment to the institution will be withheld until report is received.
III. APPLICATIONS, NOTIFICATION & PAYMENT PROCEDURES
A. Eligibility: Applicants should demonstrate experience and strong research training as well as sufficient institutional support (facilities, time, and mentorship) to carry out the proposed work. Applicants should hold the M.D., Ph.D., Au,D, or equivalent degrees as well as a faculty, post-doctoral, or medical residency appointment. Applications from investigators with R01/R03 or equivalent funding within the past five years will not be considered. Otolaryngology residents are eligible to apply with a letter of support from the program chair. Graduate students are not eligible for Hearing Health Foundation grants. Applications for research continuation or bridge funding should not be submitted.
B. New Project Applications/First Year Applications due December 14, 2012.
1. A new project application should specify the proposed duration of the project, as well as:
a) facilities, staff and other research funds available to the investigators;
b) a proposed budget, with purpose stated for each expense;
c) qualifications of investigators and other personnel; and
d) any special information needed to establish eligibility for a Hearing Health Foundation grant.
C. Continuation Applications for grant support for a second year (Third year applications require extreme justification): Letter of Intent must be received at Hearing Health Foundation by November 30. Second Year Applications must be received by Hearing Health Foundation in mid-January.
2. Such applications must have attached:
a) a detailed budget for the next year; if different from prior application;
b) a progress report on the work done;
c) a list of publications including abstracts and manuscripts submitted for publication;
d) information regarding changes of facilities, staff and other funds available to the principal investigator; changes in qualifications of investigator and other personnel; and
f) any special information needed to establish eligibility for continuing support.
D. Conflict of Interest: An institution applying for a grant from Hearing Health Foundation must submit, with its application, a copy of the institution's written guidelines for its staff relating to conflict of interest. Unless different, guidelines do not need to be included in second or third year applications.
E. Other Funding: An application to Hearing Health Foundation for grant support of a research project shall state whether the same project is receiving support from another source, and whether an application has been submitted to another source for such funding. If, after application to Hearing Health Foundation, or funding by Hearing Health Foundation, this same project receives support from another granting agency, the principal investigator and the grantee institution shall promptly notify Hearing Health Foundation of such funding and make provisions to return any unexpended Hearing Health Foundation funds.
F. Notification to Applicants: In June, Hearing Health Foundation will notify each principal investigator whether or not his/her project has received a grant for the upcoming project year, and if so, the amount of that grant.
G. Payments: Grants will be paid in three equal payments during June, November, and April.
H. Any budget deviation during the program year requires an updated budget and justification of change. In the interim, remittance of payment cannot be provided.
IV. PROJECT CHANGES
A. Transfers: No research grant can be transferred from one institution to another without the written approval of Hearing Health Foundation.
1. If a principal investigator wishes to have such transfer made, that investigator must:
a) request, in writing, the approval of Hearing Health Foundation for the transfer;
b) secure written approval for this transfer from the fiscal officer at the present grantee institutions;
c) submit an expenditures report covering the project period at the present institution up to the time of the transfer approved by Hearing Health Foundation, and provide for the return to Hearing Health Foundation of all unexpended funds received by the present institution for the grant;
d) provide Hearing Health Foundation with the name and address of the fiscal officer of the new institution;
e) secure from the appropriate chairman at the new institution both a confirmation for Hearing Health Foundation of the investigator's new appointment, and confirmation that the new duties and the available facilities and personnel will permit the prompt continuation of the research project;
f) letter of support from mentor at the new institution; and
g) submit a progress report on the work done at the present institution since the last report, or, for a first-year project, since the beginning of the grant period (July 1st).
B. Change of Objective: If the principal investigator wishes to make changes, which could alter the approved objectives for which the original grant was made, prior approval of Hearing Health Foundation is required.
C. Change of Principal Investigator: If the principal investigator relinquishes or expects to relinquish active direction of the project, Hearing Health Foundation must be notified immediately. The grantee institution may:
1. request that the grant be terminated, in which case a terminal progress report and an expenditures report must be submitted, and unexpended funds must be returned, or;
2. with the approval of Hearing Health Foundation, the grantee institution may continue the project under the direction of another investigator. In the latter instance, biographical data, an interim progress report, and other pertinent information required by Hearing Health Foundation should accompany the request for such continuation.
D. No-Cost Extension: The principal investigator must request a no-cost extension on his/her institution's letterhead before the end of the initial project year. The request must be approved by Hearing Health Foundation. The letter must include the reason for a no-cost extension and the duration of the extension. The project year may be extended, up to one year, without additional funding. No additional extension beyond one year will be approved.
A. Geographical: Grants are limited to institutions within the United States of America.
B. Time: Awards are approved for a period of one year; applicants may re-apply for continuation of funding for a second project year. Third year applications will not be honored except in extraordinary circumstances (e.g., the recruitment of human subjects). The primary purpose of the award is to enable the investigator to become established or produce quality research that will allow him/her to successfully compete for NIH Grants or grants from other sources. To reflect this aim, Hearing Health Foundation strives to have new grants make up one-half of the total funded portfolio.
C. Amount: In Hearing Health Foundation programs, a grant cannot exceed $25,000 for one project year.
D. Grant: Hearing Health Foundation applies a policy of funding grants receiving a high priority score without number limitation based on available funds.
E. Tax-exempt: Grants will be made to non-profit, tax-exempt institutions, public or private, to support research directed at those institutions by investigators who are on their staff or are otherwise formally attached to them. Awarding grants to for-profit companies would disqualify Hearing Health Foundation for tax-exempt status.
F. Institution Awards: Hearing Health Foundation will fund no more than a total of five (5) grants annually to an institution. The funding will be limited to the five (5) grants of the highest priority as determined by Hearing Health Foundation.
G. Funding: Hearing Health Foundation grants are for the support of research endeavors carried out by investigators who are beginning to work in the field of hearing and balance. At least 50% of all available funds will be set aside for new applications from investigators who are beginning to work in the field of hearing and balance. Funds for Hearing Health Foundation grant renewals shall not exceed 50% of all funds granted. Priority scores for funding will be determined separately within the new and renewal applications groups to assure independent assessment. Projects that are new areas of research for an established scientist can be considered for funding for one year of support. Typically, Hearing Health Foundation will not fund Principal Investigators currently receiving significant federal funding or meaningful funding (grants receipts totaling >$75,000 per annum). Although this policy does not apply to the co-principal investigator, it is imperative that the proposal is significantly different in focus from the co-PI's current, planned or recently funded projects; for this reason we request abstracts of the co-PI's funded projects. Applications from investigators with R01/R03 or equivalent funding within the past five years will not be considered. Hearing Health Foundation grants are intended primarily for promising researchers who are in the early stages of their careers.
H. Investigator: Applicants shall hold the M.D., Ph.D., Au.D or equivalent degree(s) as well as a faculty, post-doctoral, or medical residency appointment. Graduate students are not eligible for Hearing Health Foundation grants. Residents and Post-Doctoral Fellows need to submit a letter from the established investigator who will serve as his/her mentor. This letter should describe the role played by the investigator in overseeing the resident's or Post-Doctoral Fellow's research program. In addition, the department chairman must submit a letter granting permission for the resident or Post-Doctoral Fellow to participate in adequate projected research time.
In the event that the grantee breaches any of the provisions of the policy described above, Hearing Health Foundation reserves the right to withhold further payments of the grants, and to require the grantee to repay to Hearing Health Foundation any funds expended in contravention of such provisions.