Full Text PA-97-064
 
INSTITUTIONAL NATIONAL RESEARCH SERVICE AWARD IN SLEEP RESEARCH
 
NIH GUIDE, Volume 26, Number 20, June 13, 1997
 
PA NUMBER:  PA-97-064
 
P.T. 44

Keywords: 
  Sleep Disorders 
  Biomedical Research Training 
  Biomedical Research, Multidiscipl 

 
National Institutes of Health
 
THIS PROGRAM ANNOUNCEMENT IS A REVISION OF THE PA APPEARING IN THE
MAY 30 ISSUE OF THE NIH GUIDE.  THIS REVISION REFLECTS THE FACT THAT
THIS IS AN NIH-WIDE PROGRAM ANNOUNCEMENT.
 
PURPOSE
 
The National Institutes of Health (NIH) invites applications for
National Research Service Award (NRSA) Institutional Training Grants
(T32) to develop or enhance sleep research training opportunities for
individuals selected by eligible institutions.  A specific objective
is to ensure that scientists, highly trained in sleep research, are
available in adequate numbers to address important gaps in our
biomedical and biological understanding of sleep including those
outlined in the NIH Director's Sleep Disorders Research Plan.  For
this program announcement, the National Center on Sleep Disorders
Research (NCSDR) will serve as a primary contact for applicants and
work closely with relevant NIH Institutes to support the training
opportunities identified in this announcement. Potential applicants
are strongly urged to contact the NCSDR before preparing an
application.
 
Background
 
It has become apparent over the past decade that sleep disorders and
sleep deprivation are major public health problems affecting as many
as 40 million Americans.  Progress in understanding the neurobiology
of sleep/awake states and the pathophysiological mechanisms of sleep
disorders, especially molecular and genetic aspects, has been
hampered by an inadequate number of health professionals trained in
sleep biology, sleep disorders medicine and relevant research.
Currently, there is a critical shortage of scientists with the needed
skills to bring state-of-the-art multidisciplinary approaches to
sleep research.  In addition, few or no investigators are studying
some key research areas identified in the NIH Director's Sleep
Disorders Research Plan (http://www.nhlbi.nih.gov/nhlbi/
sleep/sleep.htm) developed and coordinated by the NCSDR.
 
The overall goal of this training program is to increase the number
of sleep researchers that are available to investigate the basic
biology of sleep; to explore epidemiological, behavioral, and
clinical aspects of sleep-related disorders; and to develop new
approaches for the treatment and prevention
of these conditions.  A specific objective is to ensure that
scientists, highly trained in sleep research, are available in
adequate numbers to address important gaps in our biomedical and
biological understanding of sleep including those outlined in the NIH
Director's Sleep Disorders Research Plan.  Among the areas identified
in the Plan is basic research at molecular, cellular, and systems
levels to understand the mechanisms for sleep regulation and
homeostasis; the fundamental functions of sleep during development
and with age; the cause of chronic sleepiness; the effects of sleep
deprivation; the interactions between circadian and
neurophysiological systems that regulate sleep and wakefulness; and
the genetic factors influencing sleep control and responsible for
sleep-related disorders such as narcolepsy and restless legs
syndrome.  The Sleep Disorders Research Plan also identifies areas of
patient-oriented clinical and applied research to study the effects
of chronic sleepiness and sleep disturbances on performance and
lifestyle; the pathogenesis of sleep disorders and its
pathophysiological links to cardiovascular disease, psychiatric
disorders, and other morbid conditions; the epidemiology of sleep
disorders to determine etiology and the role of factors such as
gender, age, and ethnicity; and the relative efficacy and
effectiveness of different treatment modalities for common sleep
disorders such as sleep apnea and insomnia.  Addressing these
questions will require a combination of approaches.  Innovative,
multidisciplinary and collaborative training programs with
interactive training provided by investigators from different
disciplines and with complementary skills are strongly encouraged.
 
Successful training programs will attract individuals with
backgrounds in relevant scientific disciplines and should have
flexibility to provide interdisciplinary training to individual
candidates.  It is important that trainees receive thorough training
in multidisciplinary approaches to modern basic and patient-oriented
research.  The possibility exists for this goal to be achieved
through collaborative arrangements with one or more cooperating
institutions offering unique opportunities for sleep research
training.  In these cases, the parent program must have a continuous
and substantive role in the training process.
 
It is anticipated that this new sleep training program will act as a
source of
trainees and activities to enhance the research programs of the
participating NIH Institutes.  The application should indicate how
this goal will be achieved.  It is essential that the applicant
institution as well as all participating academic units and
departments fully support the training program.
 
HEALTHY PEOPLE 2000
 
The Public Health Service (PHS) is committed to achieving the health
promotion and disease prevention objectives of "Healthy People 2000,"
a PHS-led national activity for setting priority areas.  This PA,
"National Research Service Award Institutional Training Grants in
Sleep Research," is related to the priority areas of heart disease
and stroke, chronic disabling conditions, mental health and
disorders, and clinical prevention services. Potential applicants may
obtain a copy of "Healthy People 2000" (Full Report: Stock No.
017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through
the superintendent of documents printing office, Washington D.C.
20402-9325 (Telephone 202-512-1800).
 
ELIGIBILITY REQUIREMENTS
 
Applicant Eligibility Requirements
 
Only domestic, non-profit, private or public institutions, may apply
for grants to support the research training programs described
herein.  The applicant institution must have a strong research
program in the area proposed for research training and must have the
staff and facilities required for a substantive portion of the
proposed program.  Collaborative arrangements with one or more
cooperating institutions may be proposed to provide multidisciplinary
sleep research training not available at the applicant institution.
The research training program director at the parent institution will
be responsible for the selection and appointment of trainees to
receive NRSA support and for the overall direction of the program.
 
Trainees appointed to the training program must have the opportunity
to carry out supervised  research with the primary objective of
developing or extending their research skills and knowledge in
preparation for a basic science or clinical research career in the
field of sleep and sleep disorders.
 
Levels of Training
 
Predoctoral:  Predoctoral research training must lead to the Ph.D. or
a comparable research doctorate degree in a sleep-related science.
Relevant disciplines include, but are not limited to, neuroscience,
physiology, cellular biology, epidemiology, behavioral science,
psychology, endocrinology, immunology, pharmacology, biochemistry,
and genetics.  The completion of two years of training at the
postbaccalaureate level in a relevant science program leading to the
Ph.D. or an equivalent degree prior to being appointed to this T32 is
encouraged.  Students enrolled in health-professional programs that
are not part of a formal, combined program (i.e., M.D./Ph.D.) and who
wish to postpone their professional studies in order to gain
experience in sleep research may also be appointed. Predoctoral
research training must emphasize fundamental training in areas of
basic biomedical and behavioral sciences related to sleep and sleep
disorders.
 
Since some NIH Institutes support pre-doctoral research training on a
limited basis, applicants are strongly urged to contact the NCSDR or
appropriate Institute staff, before requesting predoctoral training
positions in a T32 application.
 
Postdoctoral:  Postdoctoral research training is for individuals who
have received a Ph.D., an M.D., or comparable health-professional
doctoral degree from an accredited domestic or foreign institution.
Comparable doctoral degrees include, but are not limited to the
following:  D.D.S., D.O., D.V.M., O.D., D.P.M., Sc.D., Eng.D., Dr.
P.H., D.N.Sc., D. Pharm., D.S.W., and Psy.D.  Research training at
the postdoctoral level must emphasize specialized training to meet
national research priorities in the biomedical, behavioral,
epidemiologic and patient-oriented aspects of sleep and sleep
disorders.
 
Research training grants are a desirable mechanism for the
postdoctoral training of physicians and other health professionals
who may have had extensive clinical training, but limited research
experience.  For such individuals, the training may be a part of a
research degree program; in all cases, health-professional
postdoctoral trainees should agree to engage in at least two years of
research, research training, or comparable experiences beginning at
the time of appointment.
 
Short-Term Research Training Positions for Health-Professional
Students: T32 applications may include a request for short-term
positions reserved specifically to train medical or other health-
professional students on a full-time basis during the summer or other
"off quarter" periods. Short-term appointments are intended to
provide health-professional students with opportunities to
participate in sleep related biomedical and/or behavioral research in
an effort to attract these individuals into sleep research careers.
 
Short-term positions should be longer than two months but may not
last longer than three months.  Students should be encouraged to
obtain two or more periods of short-term research training during
their studies leading to a health professional degree.  Such
appointments may be consecutive or may be reserved for summers or
other "off quarter" periods.
 
Since some NIH Institutes support short-term research training
positions on a limited basis, applicants are strongly urged to
contact the appropriate NIH Institute representative listed at the
end of this announcement, before requesting short-term research
training positions in a T32 application.
 
Trainee Eligibility Requirements
 
To be appointed to a research training grant, an individual must be a
citizen or a non-citizen national of the United States or must have
been lawfully admitted for permanent residence (i.e., in possession
of a currently valid Alien Registration Receipt Card I-551, or must
be in possession of other legal verification of such status).
Individuals on temporary or student visas are not eligible.
 
Predoctoral Trainees:  Predoctoral trainees must have received a
baccalaureate degree in a relevant science program at the beginning
date of their NRSA appointment.  Health-professional students who
wish to interrupt their studies for a year or more to engage in
full-time research training before completing their professional
degrees are also eligible.
 
Postdoctoral Trainees:  Postdoctoral trainees must have received, as
of the beginning date of the NRSA appointment, a Ph.D., M.D., or
comparable doctoral degree from an accredited domestic or foreign
institution.  Written certification by an authorized official of the
degree-granting institution that all degree requirements have been
met, prior to the date training is to begin, is acceptable.
 
Short-Term Health Professional Trainees:  To be eligible for
short-term research training positions, health-professional students
must have completed at least one quarter in a program leading to a
clinical doctorate prior to participating in the program.
Individuals matriculated in a formal research degree program or those
holding an M.S., a Ph.D., or an M.D./Ph.D. degree or equivalent
graduate level research degree are not eligible for short-term
training positions.  Within schools of pharmacy, only individuals who
are candidates for the Pharm.D. degree are eligible for short-term
positions.
 
MECHANISM OF SUPPORT
 
The support mechanism for grants made in response to this program
announcement will be the NIH National Research Service Award (NRSA)
Institutional Training Grant (T32).  The announcement will remain in
effect through the end of fiscal year 2000.
 
Institutional NRSA research training grants may be made for periods
up to five years and are renewable.  Awards within an approved
competitive segment are normally made in 12-month increments with
support for additional years contingent on satisfactory progress and
the availability of funds.
 
GENERAL PROVISIONS
 
Positions on NRSA institutional grants may not be used for study
leading to the M.D., D.D.S., or other clinical, health-professional
degrees except when those studies are a part of a formal combined
research degree program such as the M.D./Ph.D.  Similarly, trainees
may not accept NRSA support for studies which are a part of residency
training leading to a medical specialty or subspecialty except when
the residency program credits a period of full-time, postdoctoral
research training toward board certification and the trainee intends
to pursue a research career.
 
Students enrolled in health-professional doctoral degree programs may
receive support for short-term research training for one or more
periods lasting up to three months each.  Such students may also
interrupt their studies for a year or more to engage in full-time
research training before completing their professional degree.
 
Trainees are required to pursue their research training on a
full-time basis, devoting at least 40 hours per week to the program.
Within the 40 hours per week training period, research trainees in
clinical areas must devote their time to the proposed research
training and must confine clinical duties to those that are an
integral part of the research training experience.
 
Duration of Support
 
Trainee appointments are normally made in 12-month increments with
support for additional years dependent on satisfactory progress and
the continued availability of funds.  No trainee may be appointed for
less than nine months during the initial period of appointment,
except with the prior approval of the NIH awarding unit or when
health-professional students are appointed to approved, short-term
research training positions.
 
No individual trainee may receive more than five years of aggregate
NRSA support at the predoctoral level or three years of aggregate
NRSA support at the postdoctoral level, including any combination of
support from institutional training grants and individual fellowship
awards.  Any exception to the total duration of trainee support at
either the predoctoral or postdoctoral level requires a waiver from
the director of the NIH Institute or Center that supports the award.
Requests for extension must be made in writing by the trainee,
endorsed by the director of the training program and the appropriate
institutional official, and addressed to the director of the awarding
component.  The request must include a sound justification for an
extension of the statutory limits on the period of support.
 
Recruitment and Appointment of Trainees
 
The primary objective of the NRSA program is to prepare qualified
individuals for careers that significantly impact the Nation's
research agenda.  Within the framework of the program's longstanding
commitment to excellence and projected needs for investigators in
particular areas of research, it is important that attention also be
given to recruiting individuals from minority groups that are
underrepresented nationally in the biomedical and behavioral
sciences.  Groups that have been shown to be underrepresented in
biomedical and behavioral research nationally include: African
Americans, Hispanics, Native Americans, Alaskan Natives, and Pacific
Islanders.  In the science areas of some sponsoring Institutes,
additional groups have been identified.  Applicants should contact
the appropriate NIH Institute representative listed at the end of
this announcement for further information.  Future use of the term
"minority" in this announcement will refer to the underrepresented
groups identified by the appropriate Institute.
 
Other considerations relate to the duration of training and the
movement of trainees to individual support mechanisms.  Studies have
shown that the length of the appointment to a training grant for
postdoctoral trainees with health-professional degrees is strongly
correlated with subsequent application for and receipt of independent
NIH research support.  Program directors, therefore, are strongly
encouraged to limit appointments to individuals who plan to remain on
the grant or in some other type of research experience for a minimum
of two years.  It has also been shown that individuals who have been
supported by an individual postdoctoral fellowship are more likely to
apply for and receive NIH research support than individuals who have
received support from a training grant alone. Program directors are
therefore encouraged to identify candidates for individual
postdoctoral fellowships or early career development (K awards) in
order to stimulate applications.  During the review of applications,
peer reviewers will examine the training record to determine the
average duration of training for health-professional postdoctoral
trainees and whether there is a record of transition to individual
support mechanisms.
 
Past studies have shown that trainees from programs oriented
exclusively toward health-professionals are less likely to apply for
and receive research grant support than health-professionals who
train with postdoctoral researchers who have an intensive background
in research.  Programs that focus on research training for
individuals with an M.D. or other health-professional degrees should
consider developing strong ties to basic science departments or
modifying their program to include individuals with research doctoral
degrees if such changes are consistent with the goals of the program.
Applications should describe the contribution of basic science
departments to the research training experience and indicate whether
both health professional trainees and trainees with research
doctorates are included in the training program.
 
Payback Provisions
 
As specified in the NIH Revitalization Act of 1993, NRSA recipients
incur a service payback obligation only during the first 12 months of
postdoctoral support.  Additionally, the NIH Revitalization Act of
1993 specifies that the second and subsequent years of postdoctoral
NRSA training will serve to pay back a postdoctoral service payback
obligation. Accordingly, the following guidelines apply:
 
o  Predoctoral trainees are not required to sign the Payback
Agreement Form (PHS Form 6031) and do not incur a service payback
obligation.
 
o  Postdoctoral trainees in the first twelve months of postdoctoral
NRSA support must sign the payback agreement form and incur a period
of service payback obligation equal to the period of support.
 
o  Postdoctoral trainees in the thirteenth and subsequent months of
NRSA support are not required to sign the Payback Agreement Form and
do not incur a service payback obligation.
 
o  The thirteenth and subsequent months of postdoctoral NRSA support
are considered acceptable payback service for prior postdoctoral
support. Individuals appointed to their initial NRSA postdoctoral
period on or after June 10, 1993, and who continue under that award
for two years, have fulfilled their obligation by the end of the
second year. Service payback obligations can also be paid back by
conducting health-related research or teaching for more than 20 hours
per week of a full year after terminating NRSA support.
 
Recipients must begin to undertake any remaining obligated service on
a continuous basis within two years after termination of NRSA
support.  The period for undertaking payback service may be delayed
for such reasons as temporary disability, completion of residency
requirements, or completion of the requirements for a graduate
degree.  Requests for an extension must be made in writing to the
awarding unit specifying the need for additional time and the length
of the required extension.  Recipients of NRSA support are
responsible for informing the awarding unit of changes in status or
address.  For individuals who fail to fulfill their obligation
through service, the United States is entitled to recover the total
amount of NRSA funds paid to the individual for the obligated period
plus interest at a rate determined by the Secretary of the Treasury.
Financial payback must be completed within three years, beginning on
the date the United States becomes entitled to recover such amount.
Under certain conditions,  the Secretary, Department of Health and
Human Services (or those delegated this authority) may extend the
period for starting service or repayment, permit breaks in service,
or in rare cases in which service or financial repayment would
constitute an extreme hardship, the approving official may waive or
suspend the payback obligation of an individual.
 
Officials at the awardee institution have the responsibility of
explaining the terms of the payback requirements to all prospective
training candidates before appointment to the training grant.
Additionally, all trainees recruited into the training program should
be provided with information related to the career options available
to individuals who complete the program and whether the types of
positions available are consistent with the nature of the training
provided and where applicable whether those positions are likely to
satisfy any outstanding service payback obligation.
 
Trainee Reporting Requirements
 
The institution must submit a completed Statement of Appointment (PHS
Form 2271) for each trainee appointed or reappointed to the training
grant at the beginning of the appointment period.  Additionally, a
completed Payback Agreement (PHS Form 6031) must be submitted for
each trainee in their first twelve months of postdoctoral support.
Within 30 days of the end of the total support period for each
trainee, the institution must submit a Termination Notice (PHS Form
416-7).  Failure to submit the required forms in a timely manner may
result in an expenditure disallowance or a delay in any continuation
funding for the award.
 
Leave
 
In general, trainees may receive stipends during periods of vacation
and holidays observed by individuals in comparable training positions
at the grantee institution.  For the purpose of these awards,
however, the period between the spring and fall semesters is
considered to be an active time of research and research training and
is not considered to be a vacation or holiday.
 
Trainees may receive stipends for up to 15 calendar days of sick
leave per year.  Sick leave may be used for the medical conditions
related to pregnancy and childbirth pursuant to the Pregnancy
Discrimination Act (42 USC 2000 e(k)).  Trainees may also receive
stipends for up to 30 calendar days of parental leave per year for
the adoption or the birth of a child when those in comparable
training positions at the grantee institution have access to paid
leave for this purpose and the use of parental leave is approved by
the program director.
 
A period of terminal leave is not permitted and payment may not be
made from grant funds for leave not taken.  Individuals requiring
periods of time away from their research training experience longer
than specified here must seek approval from the NIH awarding
component for an unpaid leave of absence.  At the beginning of a
leave of absence, the trainee must submit a Termination Notice (PHS
Form 416-7) and upon return from the leave of absence, the trainee
must be formally reappointed to the grant by submitting an updated
Statement of Appointment (PHS Form 2271). Trainees within the first
twelve months of postdoctoral support must also submit a Payback
Agreement (PHS Form 6031) upon return from a leave of absence.
 
Stipends
 
National Research Service Awards provide funds, in the form of
stipends, to graduate students and postdoctoral trainees.  A stipend
is provided as a subsistence allowance for trainees to help defray
living expenses during the research training experience.  It is not
provided as a condition of employment with either the Federal
Government or the awardee institution. Stipends must be paid to all
trainees at the levels approved by the Secretary of the Department of
Health and Human Services.
 
Predoctoral: Beginning in FY 97, the annual stipend for predoctoral
trainees is $11,496.  For appointments of less than a year, the
stipend will be based on a monthly proration that is currently $958
per month.
 
Postdoctoral:  The current annual stipend for postdoctoral trainees
is determined by the number of FULL years of relevant postdoctoral
experience at the time of appointment.  Relevant experience may
include research experience (including industrial), teaching,
internship, residency, clinical duties, or other time spent in
full-time studies in a health-related field following the qualifying
doctoral degree.  The stipend for each additional year of NRSA
support is the next level on the stipend scale. Current postdoctoral
stipends are as follows:
 
Years of Relevant Experience                   Annual Amount
 
Less than 1                                           $20,292
Greater than or equal to 1 but less than 2             21,420
Greater than or equal to 2 but less than 3             25,600
Greater than or equal to 3 but less than 4             26,900
Greater than or equal to 4 but less than 5             28,200
Greater than or equal to 5 but less than 6             29,500
Greater than or equal to 6 but less than 7             30,800
Greater than or equal to 7                             32,300
 
A trainee with a health-professional doctoral degree who is enrolled
in a graduate degree program is considered to be in postdoctoral
training and will receive the appropriate postdoctoral stipend listed
above.
 
No departure from the established stipend schedule may be negotiated
by the institution with the trainee.  The stipend for each additional
full year of stipend support is the next level in the stipend
structure and does not change mid-year.  The sponsoring institution
is allowed to provide funds to an individual in addition to the
stipends paid by the NIH.  Such additional amounts may be either in
the form of augmented stipends (supplementation) or in the form of
compensation, such as salary or tuition remission for services such
as teaching or serving as a laboratory assistant, provided the
following conditions are met:
 
Stipend Supplementation:  Supplementation or additional support to
offset the cost of living may be provided by the awardee institution
but must not require any additional obligation from the trainee.
Federal funds may not be used for supplementation unless specifically
authorized under the terms of both the program from which such
supplemental funds are to be received and the program whose funds are
to be supplemented.  Under no circumstances may DHHS funds be used
for supplementation.
 
Compensation:  An institution may provide additional funds to a
trainee in the form of compensation (as salary and/or tuition
remission) for services such as teaching or serving as a laboratory
assistant.  A trainee may receive compensation for services as a
research assistant or in some other position on a Federal research
grant, including a DHHS research grant.  However, compensated
services should occur on a limited, part-time basis apart from the
normal research training activities, which require a minimum of 40
hours per week.  In addition, compensation may not be paid from a
research grant that supports research that is part of the research
training experience.
 
Under no circumstances may the conditions of stipend supplementation
or the services provided for compensation interfere with, detract
from, or prolong the trainee's approved NRSA training program.
 
Educational Loans or G.I. Bill:  An individual may make use of
Federal educational loan funds and assistance under the Veterans
Readjustment Benefits Act (G.I. Bill).  Such funds are not considered
supplementation or compensation.
 
Concurrent Awards:  An NRSA may not be held concurrently with another
Federally-sponsored fellowship or similar Federal award that provides
a stipend or otherwise duplicates provisions of the NRSA.
 
More specific information on stipend supplementation and compensation
is available in the current Guidelines for NRSA Individual Awards -
Institutional Grants and in the current PHS Grants Policy Statement.
 
Tax Liability
 
Section 117 of the Internal Revenue Code applies to the tax treatment
of all scholarships and fellowships.  Under that section, non-degree
candidates are required to report all stipends, and any monies paid
on their behalf for course tuition and fees required for attendance
as gross income.  Degree candidates may exclude from gross income
(for tax purposes) any amount used for tuition and related expenses
such as fees, books, supplies, and equipment required for courses of
instruction at a qualified educational organization.
 
The taxability of stipends, however, in no way alters the
relationship between NRSA trainees and institutions.  NRSA stipends
are not considered salaries.  In addition, trainees supported under
the NRSA are not considered to be in an employee-employer
relationship with the NIH or the awardee institution.
 
It must be emphasized that the interpretation and implementation of
the tax laws are the domain of the Internal Revenue Service and the
courts.  The PHS takes no position on what the status may be for a
particular taxpayer, and it does not have the authority to dispense
tax advice.  Individuals should consult their local IRS office about
the applicability of the law to their situations and for information
on the proper steps to be taken regarding their tax obligations.
 
Tuition, Fees, and Health Insurance
 
Tuition, fees, and self-only medical insurance, are allowable trainee
costs if such charges are required of all individuals in a similar
training status at the institution, regardless of their source of
support.  Family medical insurance coverage is not an appropriate
charge to the NRSA research training grant. Tuition at the
postdoctoral level is limited to that required for specific courses
in support of the approved research training program.  On an annual
basis, for each trainee, the training grant will cover 100 percent of
the first $2,000 of the combined cost of tuition, fees, and self-only
health insurance and 60 percent of any amount above $2,000.
Institutions are instructed to request the full amount of these costs
in competing applications.  Noncompeting awards will reimburse
tuition, fees, and health insurance costs in the amount paid in the
previous award year, unless there is a change in the scope of the
award.
 
Other Training Costs
 
Trainee travel, including attendance at scientific meetings that the
institution determines to be necessary to the individual's research
training, is an allowable trainee expense.  In addition, support for
travel to a research training experience away from the grantee
institution may be permitted.  Research training experiences away
from the parent institution must be justified considering the type of
opportunities for training available, how these opportunities differ
from those offered at the parent institution, and the relationship of
the proposed experience to the trainee's career stage and career
goals.  This type of research training requires prior approval from
the NIH.  Letters requesting such training may be submitted to the
NIH awarding component at any time during the award period.
 
Institutional costs of up to $1,500 per year per predoctoral trainee
and up to $2,500 per year per postdoctoral trainee may be requested
to defray the costs of other research training related expenses, such
as staff salaries, consultant costs, equipment, research supplies,
and staff  travel.
 
Under exceptional circumstances, which can include accommodating the
disabilities of a trainee, it is possible to request institutional
costs above the standard rate.  These additional costs must be
explained in detail and carefully justified in the application.
Consultation with program staff in advance of such requests is
strongly advised.
 
The institution may receive up to $125 per month to offset the cost
of tuition, fees, health insurance, travel, supplies, and other
expenses for each short-term, health-professional research training
position.
 
A facilities and administration allowance (indirect cost allowance)
based on eight percent of total allowable direct costs (this excludes
amounts for tuition, fees, health insurance, and equipment), may be
requested.
 
APPLICATION PROCEDURES
 
Applicants must use the grant application form PHS 398 (rev. 5/95).
It contains special instructions for Institutional National Research
Service Awards (T32).  Applications kits are available at most
institutional offices of sponsored research and may be obtained from
the Division of Extramural Outreach and Information Resources,
National Institutes of Health, 6701 Rockledge Drive, MSC 7910,
Bethesda, MD 20892-7910, telephone 301/435-0714, email:
ASKNIH@odrockm1.od.nih.gov.
 
The PA title and number should be typed on line 2 of the application
face page.  Applicants must observe the 25-page limit on the
narrative section of the PHS 398 application.
 
Applicants who wish to include a request for short-term research
training positions for Health Professional Students should identify
the short-term positions separately within the "Stipends" and
"Training Related Expenses" categories on the budget page.  Under
"Stipends," short-term positions should be listed in the "Other"
category.  Tuition, fees, health insurance, and trainee travel, and
other expenses, are to be included in "Training Related Expenses."
The description of the short-term research training program should be
included in the application for the regular research training
program, but should be separated from the description of the regular
program within each section of the application.  In addition to the
information requested in the "Program Plan" section, the applicant
should address the relationship of the proposed short-term program to
the regular research training program and provide assurance that the
short-term program will not detract from the regular program.
 
Submit an original of the application with both required signatures
and
checklist, and five exact single-sided copies of the application to:
 
DIVISION OF RESEARCH GRANTS
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, SUITE 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)
 
Application Schedule
 
Many Institutes review T32 applications only once or twice per year.
Applicants should contact the NCSDR or appropriate Institute staff
for specific schedule information before preparing and submitting an
application.  The following table provides general guidance for
possible receipt dates and the review of applications:
 
Application Receipt Date:  Jan 10      May 10
Initial Review Meeting:    Jun         Oct/Nov
Council/Board Meeting:     Sep/Oct     Jan/Feb
Earliest Start Date:       Dec 1       Apr 1
 
REVIEW CONSIDERATIONS
 
Upon receipt, applications will be reviewed for completeness by the
Division of Research Grants.  Incomplete applications will be
returned to the applicant without further consideration.
 
Review Criteria
 
Applications are evaluated for merit by NIH initial review groups
based on the following criteria:
 
o  Past research training record of both the program and the
designated preceptors as determined by the success of former trainees
in establishing independent and productive research careers.
Evidence of further career development can include receipt of
fellowships, career awards, further training appointments, and
similar accomplishments.  Evidence of a productive scientific career
can include a record of successful competition for research grants,
receipt of special honors, a record of publications, receipt of
patents, promotion to scientific positions, and any other measure of
success consistent with the nature and duration of the training
received.
 
o  Objectives, design, and direction of the training program in sleep
related research;
 
o  Caliber of preceptors as researchers in sleep-related disciplines,
including successful competition for research support;
 
o  The institutional training environment, including the level of
institutional commitment, the quality of the facilities, availability
of appropriate courses, and the availability of support for sleep
research;
 
o  Recruitment and selection plans for trainees, and the availability
of high quality candidates;
 
o  The record of the research training program in retaining health-
professional postdoctoral trainees for at least two years in research
training or other research activities;
 
o  When appropriate, the concomitant research training of
health-professional postdoctorates (i.e., individuals with the M.D.,
D.O., D.D.S., etc.) with basic science postdoctorates (i.e.,
individuals with a Ph.D., etc.) or linkages with basic science
departments.
 
Short-Term Research Training Positions:  In addition to the above
criteria, applications that request short-term research training
positions will also be assessed using the following criteria:
 
o  The quality of the proposed short-term training program in sleep
research including the commitment and availability of the
participating faculty, the program design, the availability of
research support, and the training environment;
 
o  Access to candidates for short-term research training and the
ability to recruit high quality, short-term trainees from the
applicant institution or some other health-professional school;
 
o  The characteristics of the research training program that might be
expected to persuade short-term trainees to consider
academic/research careers in sleep research, particularly in clinical
areas;
 
o  The success in attracting students back for multiple appointments
(competing renewal applications);
 
o  The effects of the short-term training program on the quality of
the regular research training program, including the appropriateness
of the number of short-term positions, and the plan to integrate the
short-term training program into the regular research training
program;
 
o  The plan to follow former short-term trainees and assess the
effect of such research training on their subsequent careers in sleep
research.
 
Additional Review Considerations
 
Minority Recruitment Plan:  The NIH remains strongly committed to
increasing the participation of individuals from underrepresented
minority groups in biomedical and behavioral research.  As announced
in 1989, all competing applications for institutional NRSA research
training grants must include a specific plan to recruit
underrepresented minorities, and competing continuation applications
also must include a report on the recruitment and retention record
during the previous award period.  If an application is received
without a plan, or without a report on the previous award period, the
application will be considered incomplete and may be returned to the
applicant without review.  Additional information on this requirement
was published in the NIH Guide for Grants and Contracts, Volume 22,
Number 25, July 16, 1993.
 
Competing renewal applications for research training grants must
include a detailed account of experiences in recruiting individuals
from underrepresented groups during the previous award period.
Information on the types of recruitment strategies used and which
have been successful and unsuccessful must be included.  The report
should provide information on the racial/ethnic distribution of:
 
(a) students and/or postdoctorates in the department(s) relevant to
the training grant,
 
(b) individuals who applied for research training,
 
(c) individuals who were offered admission, and
 
(d) individuals who were appointed to the research training grant.
 
For those trainees who were appointed to the grant, the report should
include information about the duration of research training and
whether those trainees have finished their training in good standing.
 
After the overall educational and technical merit of an application
has been assessed, peer reviewers will examine and evaluate the
minority recruitment plan and any record of recruitment and
retention.  For competing continuation applications, the reviewers
will examine and evaluate the record of the program in recruiting and
retaining underrepresented minority trainees during the previous
award period.  The panel also will consider whether the experience in
recruitment during the previous award period has been incorporated
into the formulation of the recruitment plan for the next award
period.  The findings of the panel will be included in an
administrative note in the summary statement.  If the minority
recruitment plan or if the record of recruitment and retention of
minorities is judged to be unacceptable, funding will be withheld
until a revised plan that addresses the deficiencies is received.
Staff within the NIH awarding component, with guidance from the
appropriate national advisory committee or council, will determine
whether amended plans and reports submitted after the initial review
are acceptable.
 
Training in the Responsible Conduct of Research:  Every predoctoral
and postdoctoral NRSA trainee supported by an institutional research
training grant must receive instruction in the responsible conduct of
research.  For more information on this provision, please consult a
notice in the NIH Guide for Grants and Contracts, Volume 21, Number
43, November 27, 1992.
 
Applications must include a description of a program to provide
formal or informal instruction in scientific integrity or the
responsible conduct of research.  Applications without plans for
instruction in the responsible conduct of research will be considered
incomplete and may be returned to the applicant without review.
 
o  Although the NIH does not establish specific curricula or formal
requirements, all programs are encouraged strongly to consider
instruction in the following areas: conflict of interest, responsible
authorship, policies for handling misconduct, policies regarding the
use of human and animal subjects, and data management. Within the
context of training in scientific integrity it is also beneficial to
discuss the mutual responsibilities of the institution and the
graduate students or postdoctorates appointed to the program.
 
o  Plans must address the subject matter of the instruction, the
format of the instruction, the degree of faculty participation,
trainee attendance, and the frequency of instruction.  The rationale
for the proposed plan of instruction must be provided.
 
o  Program reports on the type of instruction provided, topics
covered, and other relevant information, such as attendance by
trainees and faculty participation, must be included in future
competing and noncompeting applications.
 
The NIH encourages institutions to provide instruction in the
responsible conduct of research to all graduate students and
postdoctorates in a training program or department, regardless of the
source of support.
 
NIH initial review groups will assess the applicant's plans on the
basis of the appropriateness of topics, format, amount and nature of
faculty participation, and the frequency and duration of instruction.
The plan will be discussed after the overall determination of merit,
so that the quality of the plan will not be a factor in the
determination of the priority score. Plans will be judged as
acceptable or unacceptable.  The acceptability of the plan will be
described in an administrative note on the summary statement.
Regardless of the priority score, applications with unacceptable
plans will not be funded until a revised, acceptable plan is provided
by the applicant.  The acceptability of the revised plan will be
judged by staff within the awarding component at the NIH.
 
Following initial review, applications are also reviewed by the
appropriate NIH Institute or Center Council, Board, or other advisory
group.  These advisory groups will consider, in addition to the
assessment of the scientific and educational merit of the research
training grant application, the initial review group's comments on
the recruitment of individuals from underrepresented minority groups
into the research training program and the plan for instruction in
the responsible conduct of research.
 
AWARD CRITERIA
 
Applications are selected for funding primarily on the basis of
scientific and educational merit, but other factors are considered,
such as:  availability of funds, research program priorities, balance
among types of research training supported by the awarding component,
the acceptability of the plan for minority recruitment, and the
acceptability of the proposal for instruction in the responsible
conduct of research.  The awarding NIH Institute will notify the
applicant of the final action shortly after the advisory group
meeting.
 
Additional information
 
For additional information, see the document titled "Guidelines for
National Research Service Awards, Individual Awards - Institutional
Grants" available from the applicant's institution or by contacting
the Office of Extramural Outreach and Information Resources, National
Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD
20892-7910, telephone 301/435-0714, E-mail:
asknih@odrockm1.od.nih.gov.
 
INQUIRIES
 
Applicants are strongly encouraged to contact the individuals
designated below, in advance of preparing an application, for
additional information concerning the areas of research, receipt
dates, and other types of pre-application consultation.
 
Direct inquiries regarding programmatic issues to:
 
James P. Kiley, Ph.D.
National Center on Sleep Disorders Research
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, Suite 7024, MSC 7920
Bethesda, MD  20892-7920
Telephone:  (301) 435-0199
Email:  kileyj@gwgate.nhlbi.nih.gov
 
Additional contacts for Institute-specific program issues are:
 
Andrew Monjan, Ph.D., M.P.H.
Neuroscience and Neuropsychology of Aging Program
National Institute on Aging
7201 Wisconsin Avenue, Suite 3C307, MSC 9205
Bethesda, MD  20892-9205
Telephone:  (301) 496-9350
Email:  am39m@nih.gov
 
Ellen D. Witt, Ph.D.
Division of Basic Research
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 402, MSC 7003
Bethesda, MD  20892-7003
Telephone:  (301) 443-6545
Email:  ewitt@willco.niaaa.nih.gov
 
Marian Willinger, Ph.D.
Pregnancy and Perinatology Branch
National Institute of Child Health and Human Development
6100 Executive Boulevard
Bethesda, MD  20892
Telephone:  (301) 496-5575
Email:  willingm@hd01.nichd.nih.gov
 
Paul Coulis,  Ph.D.
National Institute on Drug Abuse
5600 Fishers Lane, Room 10A/08
Rockville, MD  20857
Telephone:  (301) 443-1801
Email:  pcoulis@aoada.ssw.dhhs.gov
 
Israel Lederhendler, Ph.D.
National Institute of Mental Health
5600 Fishers Lane, Room 11/102
Rockville, MD  20857
Telephone:  (301) 443-1576
Email:  ilu@cu.nih.gov
 
Joseph Drage, M.D.
Training and Special Programs Officer
National Institute of Neurological Disorders and Stroke
Federal Building, Room 1016
Bethesda, MD  20892
Telephone:  (301) 496-4188
Email:  dragej@nswide.ninds.nih.gov
 
Mary Leveck, Ph.D., R.N.
National Institute of Nursing Research
45 Center Drive, Room 3AN12, MSC 6300
Bethesda, MD 20892-6300
Telephone:  (301) 594-5963
Email:  mleveck@ep.ninr.nih.gov
 
Direct inquires regarding fiscal matters to:
 
Raymond L. Zimmerman
Grants Operations Branch
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, Suite 7160, MSC 7926
Bethesda, MD  20892-7920
Telephone:  (301) 435-0171
Email:  zimmermr@gwgate.nhlbi.nih.gov
 
Crystal Ferguson
Grants Management Office
National Institute on Aging
7201 Wisconsin Avenue, Suite 2C212, MSC 9205
Bethesda, MD  20892-9205 (Courier Zip: 20814)
Telephone:  (301) 496-1472
Email:  Ferguson%nihniagw.bitnet@cu.nih.gov
 
Linda Hilley
Grants Management Branch
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 504 MSC 7003
Bethesda, MD  20892-7003
Telephone:  (301) 443-0915
Email:  lhilley@wilco.niaaa.nih.gov
 
Douglas Shawver
Office of Grants and Contracts
National Institute of Child Health and Human Development
6100 Executive Boulevard, Room 8A17
Bethesda, MD  20892
Telephone:  (301) 496-1303
Email:  Shawver@hd01.nichd.nih.gov
 
Gary Fleming
Grants Management Branch
National Institute on Drug Abuse
5600 Fishers Lane, Room 8A-54
Rockville, MD  20892
Telephone:  (301) 443-6710
Email:  gfleming@aoada.ssw.dhhs.gov
 
Diana Trunnell
Grants Management Branch
National Institute of Mental Health
5600 Fishers Lane, Room 7C-08
Rockville, MD  20857
Telephone:  (301) 443-3065
Email:  dt21a@nih.gov
 
Karen Shields
Grants Management Branch
National Institute of Neurological Disorders and Stroke
Federal Building, Room 1004
Bethesda, MD  20892-9190
Telephone:  (301) 496-9231
 
Jeff Carow
Grants Management Officer
National Institute of Nursing Research
Building 45, Room 3AN-12
Bethesda, MD  20892-6301
Telephone:  (301) 594-6869
Email:  jcarow@ep.ninr.nih.gov
 
AUTHORITY AND REGULATIONS
 
NRSA Institutional Research Training Grants are made under the
authority of Section 487 of the Public Health Service Act as amended
(42 USC 288). Title 42 of the Code of Federal Regulations, Part 66,
is applicable to this program.  This program is also described under
the following numbers in the Catalog of Federal Domestic Assistance:
93.121, 93.172, 93.173, 93.233, 93.272, 93.278, 93.282, 93.306,
93.361, 93.398, 93.821, 93.837-93.839, 93.846-93.849, 93.853-93.856,
93.859, 93.862-93.868, 93.871, 93.880, 93.894, and 93.929.
 
The PHS strongly encourages all grant and contract recipients to
provide a smoke-free workplace and promote the non-use of all tobacco
products.  In addition, Public Law 103-227, the Pro-Children Act of
1994, prohibits smoking in certain facilities (or in some cases, any
portion of a facility) in which regular or routine education,
library, day care, health care or early childhood development
services are provided to children.  This is consistent with the PHS
mission to protect and advance the physical and mental health of the
American people.
 
.

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