Hearing Health Foundation
Policy on Emerging Research Grants (ERG)
Updated February 8, 2024. Please email grants@hhf.org with any questions.
I. General Policies and Objectives
Hearing Health Foundation (“HHF”) awards grants once a year for the project period of October 1 – September 30. A grant represents a mutual joining of interests on the part of HHF, the Grantee, and the Grantee Institution in the pursuit of a common objective: furthering hearing and balance science. HHF Emerging Research Grants are intended primarily for promising researchers who are in the early stages of their careers and focusing on hearing loss, hearing restoration and hearing and balance related conditions. Senior investigators are also eligible for grants in specific hearing and balance topics.
The primary purpose of this Award is to enable the Principal Investigator (“PI”) to become established and/or produce quality research that will allow the PI to successfully compete for NIH grants or grants from other sources.
Applications will be considered for research on specified research topic areas of the auditory and vestibular systems to be listed in the Request for Applications. Both fundamental and clinical research proposals are welcome. HHF grants up to $50,000 per year for each research project for an initial period of one (1) year. Grantees may apply for a second (2nd) year of funding or for a one (1) year extension without additional funds granted. (The Grantee may then apply for a second year of funding following the one-year extension.)
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.
The Council of Scientific Trustees (“CST”) of HHF, in conjunction with the Scientific Review Committee (“SRC”), will consider the subject of the research, the quality of its design, including the data collection and evaluation components, its potential to significantly advance 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 Principal Investigator (and any co-PIs as appropriate). In accepting a research grant, the Grantee Institution and the Grantee are responsible for using grant funds only for those purposes set forth in the application and approved in the HHF award letter.
II. Definitions, Terms, & Conditions
A. Definitions
Approved Project: An “Approved Project” is the identified activity or program approved by HHF for support for a specified period of time
Award: The term “Award” shall mean the funds granted by HHF to support the Approved Project. The maximum possible Award for each Project Year is Fifty Thousand Dollars ($50,000). The exact amount is determined in HHF’s discretion. An Award will only be funded in the research topic areas specified in the Request for Applications.
Grant: The “Grant” is the financial Award and the accompanying terms and conditions set forth herein.
Grantee: The “Grantee” is the recipient of the Grant. The Grantee is responsible for following the terms and conditions of the Award, including all reporting and fiscal requirements. The Grantee is sometimes referred to as the “Principal Investigator” or “PI” herein.
Grantee Institution: The “Grantee Institution” is the university or research institution that employs the Grantee and accepts the Grant on behalf of the Grantee. The Grantee Institution is legally responsible for following the terms and conditions of the Grant, including all reporting and fiscal requirements.
Principal Investigator (“PI”): The “PI” is the primary individual responsible for the preparation, conduct, and administration of a research grant. The PI is identified as such in the grant application and remains the PI until the HHF CEO approves any Change of Investigator request by the Grantee Institution (as discussed in Section IV(C)).
Project Period: The “Project Period” is the estimated length of time that it will take to complete the research project. All research projects are estimated to take one (1) year or two (2) years, depending on the proposal submitted. If requested before the end of the initial Project Year by the Grantee and Grantee Institution and approved by HHF, the project year may be extended by up to one (1) year without additional funding (as discussed in Section IV(D). The entire Project Period may not exceed four (4) years.
Project Year: The “Project Year” is the one-year period for which funding has been awarded. Any extension of the initial Project Year will commence a new Project Year.
Early Stage Investigator: A researcher who received their most recent terminal degree (Au.D., M.D., Ph.D. or equivalent) and/or who completed their medical residency no more than 10 years prior to the date of ERG application.
B. Use of Funds:
Grant funds may only be used for the direct costs of carrying out approved projects, such as:
salaries of technical and supporting personnel;
limited alteration and renovation of existing facilities;
purchase of equipment that costs at least $5,000, provided that capital equipment necessary to the proposed experiment(s) that costs less than $5,000 may be purchased with grant funds with HHF’s approval;
supplies including drugs and services; and
other specifically authorized expenses as may be essential to carrying out the project.
Additionally, reasonable conference travel and open access publication costs may be included in the budget for Early Stage Investigators only. Costs for either category may not exceed $2,500 maximum (each) and approval of these costs and the final amounts are entirely at the discretion of the Council of Scientific Trustees, and you may be asked to revise or remove them from your submitted proposed budget.
If a Grantee Institution requires an allocation for indirect costs, this amount may not exceed 10% of the direct costs. Regardless of the amount allocated to indirect costs, the HHF Award for any one year will not exceed $50,000.
Grant funds may not be used for the following:
salary of Principal Investigator, co-investigator or individuals with a doctoral degree;
equipment under $5,000 (i.e., office equipment such as laptops, printers, etc. If a computer workstation is required for the proposed work, this must be explained in the budget justification and a letter from the institution must be attached explaining why the computer costs are not covered by the institution’s allocation of equipment);
living expenses;
reprints;
overhead costs exceeding 10% of project costs; or
public information, education programs or training costs (including tuition).
The CST and the SRC will in their sole discretion evaluate and approve the proposed itemized project budget.
C. Budget Deviation
HHF expects that the Grantee Institution, in authorizing expenditures for the research project, will adhere to the approved budget that was included in the application. The Grantee may revise its budget, in adherence with the guidelines set forth above, with specific approval from the Grantee Institution. HHF must be notified in writing within thirty (30) days of the Grantee Institution’s approval and such notification should include (i) a revised budget, (ii) a letter from the Grantee explaining the changes to the initial budget and (iii) proof of approval of the revised budget from the Grantee Institution. HHF CEO may approve the revised budget in his or her sole discretion. Pending HHF’s approval, remittance of payment cannot be provided.
The scope or topic of an Approved Project may not be changed unless the Grantee receives written approval from the HHF CEO. All Awards must be expended within the Project Period, unless otherwise approved by HHF in its sole discretion, and any remaining funds must be returned to HHF upon expiration of the Project Year.
D. Publications & Publicity
Grantees are expected to make the results of their HHF-funded research available to the scientific public in a timely manner. Acknowledgment of HHF support must be made when findings are reported to scientific audiences, published in scientific journals or on pre-print servers, or when publicity is given to a project, such as by the Grantee Institution or in the mainstream press.
Publications resulting from work supported in whole or in part by HHF must mention “Hearing Health Foundation” in the acknowledgements section. A full PDF copy should be submitted to HHF at grants@hhf.org as soon as possible.
When an Approved Project receives a Grant, HHF has the right to publish the Grantee’s name, the Grantee Institution’s name (but not its logo), the project title and a summary of the Approved Project’s abstract on its website, in Hearing Health magazine, through social media channels, in its Annual Report, and through other public information vehicles. The Grantee Institution has the right to publicize the Grant using Hearing Health Foundation’s name (but not its logo).
E. Reporting
End-of-Year Report: All HHF Grantees must submit an ERG End-of-Year Report and Expenditure Report, which will be provided by HHF to the Grantee, due three (3) months after the termination of the Project Year in accordance with the instructions accompanying the reports. Unless otherwise authorized by HHF, unexpended funds must be returned to HHF with these reports.
III. Eligibility, Applications, Notification, & Payment
A. Eligibility:
For all applicants:
Applicants should demonstrate experience and strong research training as well as sufficient institutional support (facilities and time as well as mentorship, if applicable) to carry out the proposed work.
Applicants must hold an M.D., Ph.D., Au.D. or equivalent degree.
The applicant must hold an appointment at a non-profit educational, governmental or research institution within the United States. Appointments for this purpose may include faculty, postdoctoral fellow, or clinical/research fellow. Otolaryngology residents are eligible to apply. Other medical residents and graduate students are not eligible to apply.
The proposed research must address one of the hearing and balance topics advertised in the ERG Request for Applications. In the application, the applicant must provide justification for the relevance of the proposed research to the designated ERG topic area.
PIs in early stages of independent research careers are especially encouraged to apply.
Eligibility for “Elizabeth M. Keithley, Ph.D. Early Stage Investigator Awards” only (Limited to Early Stage Investigators):
PIs should be in the early stages of independent research careers (within 10 years of completing a terminal degree).
If the applicant is a postdoctoral fellow, it is expected that the applicant will be at the senior level (e.g., 3 or more years of postdoctoral training).
Further, the applicant must demonstrate a pathway to professional independence in the application. Specifically, the applicant should indicate how the Grant will help with the applicant’s transition toward independence from the mentor, including how the proposed research is distinct from the mentor's research program.
Applicants cannot be a current or prior PI on a major independent research award (e.g., R00, R03, R21, R01, K Award, VA Merit, DoD, or equivalent) at the time of initial application. Prior appointment on fellowship or training grants, or prior service as a PI on a mentored career development award, is allowable.
Applicants may not concurrently receive support of more than One Hundred Thousand Dollars ($100,000) per annum in direct costs from any other combined source(s) during the Project Period.
The Grantee must inform HHF of any change in eligibility after the Award has been made and during the Project Period.
B. Ineligibility:
Individuals employed or otherwise conducting research at institutions outside of the United States are not eligible to apply. Applications for research continuation or bridge funding should not be submitted. Early Stage Investigators concurrently receiving research support in excess of $100,000 per annum in direct costs of research sponsorship from any other (combined) source(s) are not eligible for Elizabeth M. Keithley, Ph.D. Early Stage Investigator Awards. Applications from Early Stage Investigators with R00, R01, R03, R21 or equivalent funding at the time of initial application will not be considered for Elizabeth M. Keithley, Ph.D. Early Stage Investigator Awards. Early Stage Investigators with outside funding in excess of $100,000 or current or past major funding awards are eligible for topic-specific grant opportunities. Refer to the Call for Applications for details of grant opportunities availability.
C. Other Funding:
An application to HHF for grant support of a research project shall state whether the same project is receiving support from other sources and whether an application has been submitted to another source for such funding.
D. Notification:
HHF will notify each applicant whether or not the project has received a Grant for the upcoming project year, and if so, the amount of the Award.
E. Payments:
Grants will be paid in two equal payments, disbursed in October and April.
F. Conflict of Interest:
The Grantee Institution should maintain and enforce a Conflict of Interest policy.
IV. Project Changes
A. Transfer of Institution:
No research grant can be transferred from one Grantee Institution to another without the written approval of the HHF CEO. To provide this approval, HHF must receive from the Grantee:
a request in writing for the HHF CEO’s approval of the transfer;
written approval for this transfer from the fiscal officer at the present Grantee Institution;
an expenditure report covering the Project Period at the initial Grantee Institution, up to the proposed time of the transfer, to be approved by the HHF CEO, and a statement of the provisions made for the return to HHF of all unexpended funds received by the initial Grantee Institution;
the name and address of the fiscal officer of the proposed Grantee Institution;
a confirmation from the appropriate departmental chair at the proposed Grantee Institution of the Grantee’s appointment and confirmation that the duties, the available facilities and personnel will permit the prompt continuation of the Approved Project;
a progress report on the work done at the initial Grantee Institution since the beginning of the Project Period; and
if the Grantee is an Early Stage Investigator (as defined above), a letter of support from a mentor at the new institution.
B. Change of Objective:
Prior approval of the HHF CEO is required if the Grantee wishes to make changes that can alter the approved objectives for which the original Grant was made. Failure to obtain approval or the HHF CEO’s declination may result in termination of the Grant and forfeiture of future payments.
C. Change of Investigator:
If the Grantee relinquishes or expects to relinquish active direction of the project, HHF must be notified immediately. The Grantee Institution may:
request that the Grant be terminated, in which case an End-of-Year Report and an Expenditure Report must be submitted, and unexpended funds must be returned to HHF; or
with the approval of the HHF CEO, continue the project under the direction of another investigator. The new investigator’s CV, an interim progress report, and any other pertinent information requested by HHF should accompany the request for such continuation. Any proposed new investigator for an Elizabeth M. Keithley, Ph.D. Early Stage Investigator Award must meet the eligibility requirements for that grant opportunity.
D. No-Cost Extension:
The Grantee may request a no-cost extension on the Grantee Institution's letterhead no later than thirty (30) days before the end of the initial Project Period. The letter must include the reason for a no-cost extension, an expenditure report up to the point the request is filed and the requested duration of the extension. If the request is approved by the HHF CEO, the Project Period may be extended up to twelve (12) months without additional funding.
A Grantee applying for a no-cost extension to the initial Project Period may not apply for a second year of funding until the start of the next regular application period, regardless of the length of the no-cost extension. A Grantee who has applied for and been awarded a second year of funding for an Approved Project may, at the end of the second Project Year, apply for a no-cost extension of up to a maximum of twelve (12) months.
V. Limitations
A. Geographical:
Grants are limited to institutions within the United States of America.
B. Time:
Grants are approved for a period of one year.
C. Amount:
A grant cannot exceed $50,000 for one Project Year or $100,000 for one Project Period.
D. Non-tax-exempt organizations:
Domestic non-profit, tax-exempt institutions must be recognized by the Treasury Department as a tax-exempt organization under Internal Revenue Code section 501(c)(3) or as eligible for tax deductible contributions under Internal Revenue Code section 170(c)(1) or section 170(c)(2). Grants are made solely to tax-exempt organizations to support research directed at those institutions by investigators who are on their staff or are otherwise formally attached to them.
E. Institution Awards:
HHF will fund no more than a total of five (5) ERG Awards annually to any one institution. The funding will be limited to the five (5) proposals of the highest priority as determined by HHF.
F. Funding:
HHF grants are meant to support research endeavors carried out by investigators who are beginning to work in the field of hearing and balance generally or in a new sub-field thereof.
VI. Conditions
In the event that the Grantee breaches any of the provisions of the policy described above, HHF reserves the right to withhold further payments of the Award and to require the Grantee to repay to HHF any funds expended in contravention of such provisions.
VII. Governing Law
The internal laws of the State of New York (without reference to its conflict of laws rules) apply to this agreement and all rights and obligations of each party.
VIII. Venue
Disputes relating to this agreement will be resolved by a court of competent jurisdiction in the exclusive jurisdiction of the State of New York and each party agrees to submit to this jurisdiction and waive any objection to this venue or it’s convenience as a forum.
IX. Severability
If a court or other tribunal decides a provision of this agreement cannot be enforced, that decision will not affect the remaining provisions.