COLLABORATIVE MINORITY SERVING INSTITUTION ALCOHOL RESEARCH (CMSIAR) PROGRAM 
(U56)

RELEASE DATE:  November 1, 2002
 
RFA: AA-03-007
         
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
 (http://www.niaaa.nih.gov/)
 
LETTER OF INTENT RECEIPT DATE: January 24, 2003
  
APPLICATION RECEIPT DATE: February 24, 2003
 
THIS RFA CONTAINS THE FOLLOWING INFORMATION
Purpose of this RFA
Objectives and Scope
Mechanisms of Support
Funds Available
Eligible Institutions
Individuals Eligible to Become Principal Investigators
Special Requirements
Where to Send Inquiries
Letter of Intent
Submitting an Application
Peer Review Process
Review Criteria
Receipt and Review Schedule
Award Criteria
Required Federal Citations

PURPOSE OF THIS RFA
 
The National Institute on Alcohol Abuse and Alcoholism NIAAA) invites 
applications for Collaborative Minority Serving Institution Alcohol Research 
(CMSIAR) grants. The long range goal of the Collaborative Minority Serving 
Institution Alcohol Research Program is to strengthen the alcohol research 
capacity of Minority Serving Institutions (MSIs). The purpose of these grants 
is to promote and develop alcohol research expertise and infrastructure 
development at MSIs, and thereby ultimately to identify, characterize, and 
reduce alcohol-related health disparities in American ethnic and cultural 
populations and their subpopulations. Research development activities should 
address health disparities in target populations such as persons of African 
heritage, Hispanic/Latino culture, American Indians/Alaska Natives, Asian 
Americans, and Native Hawaiian and Pacific Islanders.  
 
Support for the three current Collaborative Minority Institution Alcohol 
Research Development Programs will expire in late 2003. Research in each of 
these programs is organized around a central theme to develop alcohol 
research capacity through collaborations with established alcohol 
investigators in research intensive institutions.  Applications for new 
programs in alcohol research development infrastructure and scientific 
capability development in MSIs will be accepted with applications from 
currently funded projects seeking renewal support.
 
The NIAAA is committed to increasing and strengthening efforts to address 
health disparities related to a wide range of alcohol related problems 
including alcohol and alcohol abuse and dependence (alcoholism). This RFA is 
related to priority areas found in the NIAAA "Strategic Plan to Address 
Health Disparities" (February 8, 2001).  Potential applicants may obtain a 
copy of this plan at http://www.niaaa.nih.gov/about/DisparitiesIntro-
text.htm.

OBJECTIVES AND SCOPE

Alcohol consumption is associated with a broad range of adverse health and 
social consequences, both acute (e.g., traffic deaths, other injuries) and 
chronic (e.g., alcohol dependence, liver damage, stroke, cancers of the mouth 
and esophagus). The scope and variety of these problems are attributable to 
differences in the amount, duration, and patterns of alcohol consumption; 
differences in genetic vulnerability to particular alcohol-related 
consequences; and differences in economic, social, and other environmental 
factors. Ethnic and cultural disparities in alcohol-related problems vary 
with the problem under consideration and are of pressing public health 
concern. Alcohol-related death rates (for all categories of alcohol- related 
mortality combined) are higher among Blacks than whites. Recent research 
indicates that cirrhosis death rates are higher among white men of Hispanic 
origin than among non-Hispanic black and white Americans. Alcohol-related 
traffic deaths are many times more frequent among American Indians or Alaska 
Natives than among other minority populations. 

The incidence of fetal alcohol syndrome (FAS) appears to be several times 
higher in some African American and American Indian communities than in the 
general population. Research also reveals that although African American 
teenagers typically drink less than their white or Hispanic counterparts, 
their mortality from cirrhosis is substantially higher as they approach 
middle age. Other adverse health consequences associated with alcohol 
consumption such as cirrhosis, alcoholic liver disease, HIV/AIDS, 
cardiomyopathy, pancreatitis, and alcohol-related sleep disorders are also 
more prevalent in some minority populations. Finally, increases in risky 
drinking behavior (i.e., drinking and driving) have been reported among 
Hispanics. Since ethnic minority groups have different genetic backgrounds, 
it is possible that some of the disparities in disease incidence and 
prevalence are due to differences in genetic predisposition. In addition, 
genetic and biological factors may interact with behavioral, cultural and 
environmental factors to manifest health disparities. 
 
MSIs conduct high quality programs for educating students from minority 
cultures about treating patients and providing outreach to minority 
communities. They represent a rich source of talent with appropriate cultural 
sensitivity and perspectives needed in alcohol research. However, few MSIs 
have developed and sustained programs in alcohol research.  There is also a 
need to increase the number of minority scientists who are pursuing 
successful biomedical and behavioral alcohol research careers. Specifically, 
there remains a serious shortage of funded minority scientists who conduct 
independent alcohol research, who focus research efforts on the 
disproportionate incidence, mortality and morbidity rates in minority 
populations and who bring the cultural perspectives that are essential to the 
successful conduct of many forms of research involving minority patients and 
populations. 
 
Continued support of MSIs and minority scientists in alcohol research is 
essential to developing a stronger national understanding of the disparities 
of alcohol related incidence and mortality in minorities compared to majority 
populations. The potential for identifying and training minority students and 
faculty in areas of alcohol research have not been fully explored. A 
promising approach for addressing these issues is to create and sustain 
collaborations between scientists, clinicians, and faculty of MSIs and 
established alcohol investigators.  The collaborators must integrate their 
respective expertise and experience to maximize mutually beneficial 
activities of the partnership.

The following topics are suggested for inclusion in CMSIAR applications. The 
list is not in priority order nor is it exhaustive. Other research topics 
relevant to alcohol research may be proposed.
 
- Studies of the patterns of alcohol consumption and alcohol related problems 
within specific minority populations.

- Research to determine specific genetic or biological factors that may 
increase risk for alcohol dependence or organ damage.

- Biomedical studies that examine the association between alcohol abuse or 
dependence and enhanced progression of AIDS-defining opportunistic 
infections.

- Research among high-risk minority populations that develops and tests 
interventions to prevent maternal drinking, fetal alcohol syndrome and 
alcohol related neurological disorders.

- Research to determine biological, genetic, and environmental risk factors 
that lead to disproportionately high incidence of adverse pregnancy outcomes; 
cirrhosis and other health consequences of alcohol abuse.

- Research to identify social and cultural factors that influence motivation 
for alcohol treatment, adherence to treatment and treatment outcomes.

- Studies to identify and characterize those aspects of minority drinking 
environments (problems, patterns, community norms, values, etc.) that are 
likely to influence the outcomes of prevention and intervention studies.

- Research to evaluate the effectiveness of screening and brief interventions 
in high risk minority health care, education or other settings.

MECHANISM OF SUPPORT

This RFA will use NIH U56 award mechanism.  As an applicant you will be 
solely responsible for planning, directing, and executing the proposed 
project.  This RFA is a one-time solicitation.  Future unsolicited, 
competing-continuation applications based on this project will compete with 
all investigator-initiated applications and will be reviewed according to the 
customary peer review procedures. The anticipated award date is September 29, 
2003.

This RFA uses just-in-time concepts.  It also uses the modular budgeting 
format. (see http://grants.nih.gov/grants/funding/modular/modular.htm).   
Specifically, if you are submitting an application with direct costs in each 
year of $250,000 or less, use the modular format.

The NIH (U56) is a cooperative agreement award mechanism in which the 
Principal Investigator retains the primary responsibility and dominant role 
for planning, directing, and executing the proposed project, with NIH staff 
being substantially involved as a partner with the Principal Investigator, as 
described under the section "Cooperative Agreement Terms and Conditions of 
Award"  

FUNDS AVAILABLE  

NIAAA intends to commit up to 3.5 million dollars in FY 2003 to fund four or 
five awards in response to this RFA in fiscal.  The specific number of awards 
will be contingent on the scientific and technical merit of the 
applications.  The cost may not exceed $700,000 in direct costs per year. 
Although the financial plans of the NIAAA provide support for this program, 
awards pursuant to this RFA are contingent on the availability of funds and 
the receipt of a sufficient number of meritorious applications.

Allowable costs for the five-year grant awards include and applicants should 
request:
 
Administrative costs for managing the effort, such as salaries for key 
personnel, travel for key personnel and the Project Advisory Committee (PAC), 
equipment and supplies to support an administrative structure, and PAC-
approved pilot projects as appropriate. 

Funds to develop: workshops, seminars, retreats, and other forms of 
communication to explore potential opportunities in research, training and 
career development or education.  These costs must be used to select the 
areas of greatest promise for implementation as pilot projects or programs 
with merit and potential to result in a successful grant application.  
 
Funds for the PI and collaborator(s) to attend an annual meeting on alcohol-
related health disparities research to be arranged by NIAAA. 

ELIGIBLE INSTITUTIONS  

Applications will only be accepted from Minority-Serving Institutions (MSIs) 
[e.g., Historically Black Colleges and Universities (HBCUs), Hispanic-Serving 
Institutions (HSIs) and Tribal Institutions (e.g., Colleges)], either in the 
United States or in territories under U.S. jurisdiction.

You may submit (an) application(s) if your Minority Serving Institution has 
any of the following characteristics:	
o For-profit or non-profit organizations 
o Public or private institutions, such as universities, colleges, hospitals, 
and laboratories 
o Units of State and local governments
o Eligible agencies of the Federal government  
o Domestic or foreign
o Faith-based or community-based organizations

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS 

The principal investigators must be U.S. citizens, non-citizen alien 
nationals, or permanent residents of the United States.  The principal 
investigator must have his/her primary appointment at the applicant MSI 
institution.

Racial/ethnic minority individuals, women, and persons with disabilities are 
encouraged to apply as principal investigators. 

To be responsive to this RFA, eligible principal investigators must have 
documented plans or established collaborative relationships with established 
alcohol investigators.  It is anticipated that in most instances the 
collaborating scientists will be located at one or more research-intensive 
institutions.

THE DEFINITIONS BELOW ARE INTENDED TO CLARIFY CONCEPTS THAT ARE EXPRESSED IN 
THIS RFA  

A Minority Serving Institution (MSI) is an academic, health care or research 
institution with an enrollment and/or faculty predominately of ethnic 
minorities, or an institution that qualifies as a Historically Black 
College/University (HBCU), Hispanic-Serving Institution (HSI), Hispanic-
Serving Health Professional (HSHPS) School, or Tribal College or University 
(TCU).  An institution that has a significant proportion of minority 
enrollment and a demonstrable record of accomplishment in encouraging 
minority faculty, clinicians and/or students to participate in research also 
qualifies. Both MSIs with medical schools and MSIs with focused research and 
education programs (e.g., Masters and Ph.D. programs) are invited to 
participate in this initiative.  MSIs that offer baccalaureate degrees and 
Tribal Institutions (e.g., Colleges) are encouraged to participate in this 
initiative as collaborators with another minority serving institution and 
collaborating research intensive institution, especially on career 
development and educational programs aimed at preparing students to enter 
careers in alcohol research. A partial list of eligible MSIs can be found at 
the following website address: http://www.sciencewise.com.  Other 
institutions that meet MSI qualifications may not be listed at this website, 
but they are also eligible to apply. 

A collaborating research intensive institution is an institution with which 
the applicant institution has partnered.  A "research intensive institution" 
is an academic, health care or research institution which is currently the 
recipient of substantial NIH research support.
 
An established alcohol research investigator is an individual who is 
currently the recipient of independent research support from the NIAAA 
through a research grant (R01, R37, U01 or U10) or an individual who is a 
component director on an Alcohol Research Center (P50) or multisite 
consortium.  The established alcohol research investigator serves as a 
collaborator.

SPECIAL REQUIREMENTS 
 
There are a number of Special Requirements and Provisions that are required 
of each Collaborative Minority Serving Institution Alcohol Research grant 
application. Requirements bulleted here are more fully explained under the 
heading "Supplemental Instructions" in the SUBMITTING AN APPLICATION Section, 
below.

Three components are required. Each collaborative alcohol research grant 
application must focus on 1) research AND 2) faculty and research career 
development and/or 3) science education and/or 4) information dissemination 
and outreach. 

a) Research  

The CMSIAR award is expected to support a minimum of three alcohol research 
projects.  The projects may be of a pilot or exploratory nature.  Each 
project will involve participation by co-investigators from the applicant 
minority serving institution and at least one external scientist, preferably 
from a research-intensive institution.  The external scientist/collaborating 
scientist must be an established alcohol research investigator. Projects 
involving outreach to minority populations and science education for targeted 
professional and community groups are encouraged.  Projects must focus on 
topics of significance to an alcohol related minority health issue. They must 
not overlap in purpose or intent with existing funded grants. 

b) Faculty and Research Career Development

A component for research training and mentoring of faculty, clinical staff 
and/or students is also required. The applicant institution must demonstrate 
or give reasonable assurances that it has the potential for collaborative 
career development programs.  These programs must be organized and conducted 
by scientists and faculty from both the MSI and the established collaborating 
research program but must be specifically designed for MSI scientists.  
Training and mentoring should focus on clinical, behavioral, and population 
research that pertains to health disparity issues for minority and under 
served populations. 

To promote knowledge of alcohol research and skills development, MSI staff 
must be actively involved in career development activities.  Career 
development programs for minority scientists must represent true 
collaborations that function across the institutional boundaries of the MSI 
and the collaborating alcohol research program. If the applicant institution 
does not have or does not plan to establish a formal alcohol training 
programs of its own, there must be a plan for MSI faculty, clinicians, and/or 
students to participate in training/mentoring programs of the collaborating 
institution and other affiliated institutions. 
 
c) Science Education

A Research-to-Education program would develop, implement and evaluate 
creative and innovative educational materials about scientific advances in 
our understanding of alcohol abuse and alcoholism. The projects can address 
any level of education and any of several audiences, including primary and 
secondary educational levels, college undergraduate education, teachers' 
professional development and public education. Research results and evidence-
based information must be used to inform educational materials, which might 
also include laboratory demonstrations.  National Science Education Standards 
should be consulted in the development of materials for schools. These 
standards can be found at the following website:  
http://www.nap.edu/readingroom/books/nses/1.html

The intent of the research to education component is to provide science-based 
knowledge and critical thinking skills and expertise that will inform 
decisions to use alcohol. 

d) Information Dissemination and Outreach
 
The dissemination of alcohol research findings to other scientists, alcohol 
treatment and intervention providers, health care professionals, and the 
minority community must include a comprehensive process for making the 
information relevant to the target audience and provide strategies for 
developing ongoing outreach and information services. Dissemination and 
outreach activities must be based on accurate, current, and culturally 
congruent information and must delineate methods for integrating alcohol 
research knowledge into minority communities. NIAAA encourages the 
development of coordinated outreach strategies with community and local 
groups including other agencies and service providers, such as 
prevention/treatment groups, criminal justice systems, social service 
agencies, youth programs, etc. All proposed outreach and dissemination 
proposals must include plans for ongoing evaluation.  They must also describe 
a process for using evaluation findings to improve outreach and dissemination 
activities.
	
Letters of support are needed to show that there is a collaborative 
partnership with an active alcohol research program. After award, an 
agreement between the MSI and the collaborating alcohol researchers' 
institution should be established.  

A description of the collaborative process, methods and means of 
communication is also required.

The Principal Investigator, in consultation with the NIAAA Science 
Collaborator, will establish a unique Project Advisory Committee (PAC).

The CMSIAR must develop a five-year plan that describes the project 
objectives and how project activities and processes will be used to the 
achieve CMSIAR program goals, for example, to develop capacity to submit 
competitive research grant applications. For each objective, a brief 
statement should describe what the MSI recipients and the collaborating 
alcohol scientist(s) will do to ensure that project goals will be achieved.

Recipients participate in an annual meeting of CMSIAR grantees. 
 
Full support for the CMSIAR activity from senior members of the MSI (e.g., 
Department Chair, Dean, President, Chancellor, or Center Director) that 
includes institutional discretionary resources that will be made available to 
the Principal Investigator. When CMSIAR participants have minimal experience 
in alcohol research, institutional support must include release or protected 
time to enable faculty to participate in and focus on achievement of the 
objectives in the application.

When the Principal investigator, faculty or clinicians are not independent 
investigators appropriate mentoring is developed to ensure maximum 
probability of success. 

After award, a formal agreement between the collaborating alcohol research 
program institution and the MSI should be established to clarify time and 
effort utilized by the mentors or collaborators on CMSIAR projects. 
 
Cooperative Agreement Terms and Conditions of Award:
 
The following Terms and Conditions will be incorporated into the new award 
statements and will be provided to the principal investigators and to the 
appropriate institutional officials at the time of award. The following 
special terms of award are in addition to, and not in lieu of, otherwise 
applicable OMB administrative guidelines, HHS grant administration 
regulations at 45 CFR Parts 74 and 92 (Part 92 is applicable when State and 
local Governments are eligible to apply), and other HHS, PHS, and NIH grant 
administration policies.  
 
The administrative and funding instrument used for this program will be the 
cooperative agreement, an "assistance" mechanism (rather than an 
"acquisition" mechanism), in which substantial NIAAA programmatic involvement 
with the awardees is anticipated during performance of the activities. Under 
the cooperative agreement, the NIAAA supports and stimulates the recipients' 
activities by involvement in and otherwise working jointly with the award 
recipients in a partnership role. The NIAAA is not to assume direction, prime 
responsibility, or a dominant role in the activities. Consistent with this 
concept, the dominant role and prime responsibility resides with the awardees 
for the project as a whole. 

1. Principal Investigator Rights and Responsibilities

The PI Awardee has primary authorities and responsibilities to define 
objectives and approaches, and to plan, conduct, analyze, and publish 
results, interpretations, and conclusions of their research, career 
development and other activities. The PI will: 
 
Create a Program Advisory Committee (PAC) in consultation with the NIAAA 
Scientific Collaborator.

Coordinate a regular schedule of PAC meetings for review and consultation.
 
Develop and implement the five year plan with periodic updates as needed.
 
Coordinate project activities within their institution, with outside 
collaborators, and with the NIAAA Scientific Collaborator.
 
Maintain collaboration and partnership with an established NIAAA investigator 
and collaborating alcohol research program.
 
Seek and accept assistance from the NIAAA Staff Scientific Collaborator in 
pursuing project goals.

Awardees will retain custody of and have primary rights to the data developed 
under these awards, subject to Government rights of access consistent with 
current HHS, PHS, and NIH policies. 

2. NIAAA Staff Rights and Responsibilities

According to the terms of this cooperative agreement arrangement, the NIAAA 
will appoint a Program Official and a Staff Scientific Collaborator to 
participate in the conduct of each U56 Collaborative Minority Serving 
Institution Alcohol Research Program. 
 
The NIAAA Program Official provides normal program stewardship, reviews the 
scientific progress of individual research project components, and monitors 
the distribution and use of core resources in the Cooperative Agreement. The 
Program Official also monitors compliance with requirements described in this 
RFA. The NIAAA Program Official may recommend withholding support or 
suspension or termination of the award for lack of scientific progress or for 
failure to adhere to policies established by the RFA or the Notice of Grant 
Award statement.

The NIAAA Scientific Collaborator will have substantial scientific-
programmatic involvement with the awardees through providing technical 
assistance, advice and coordination above and beyond normal program 
stewardship of research grants. The NIAAA Scientific Collaborator will: a) 
facilitate the coordination and management of this complex project; b) 
participate as a voting member in the duties and responsibilities of the PAC; 
c) participate in monitoring progress of ongoing studies; d) participate in 
planning and implementing efforts to disseminate information; e) provide 
instruction in faculty development activities; f) participate in data 
interpretation and, when appropriate, in the preparation of publications and 
presentations.  The NIAAA Scientific Collaborator is subject to the same 
publication/authorship policies governing all participants in the study, as 
well as to the official NIH Publication Policy governing extramural 
employees.
 
3. Arbitration Process
 
Any disagreement that may arise on scientific or programmatic matters between 
U56 awardees and the NIAAA may be brought to arbitration before an 
arbitration panel. The arbitration panel will be composed of three members. 
One member will be chosen by the awardee. A second member will be selected by 
the NIAAA. The third member, having expertise in the relevant scientific 
area, will be chosen by the two selected members. This special arbitration 
procedure in no way affects the awardee's right to appeal an adverse action 
that is otherwise appealable in accordance with the PHS regulations at 42 CFR 
Part 50, Subpart D and HHS regulation at 45 CFR Part 16.

WHERE TO SEND INQUIRIES
 
We encourage inquiries concerning this RFA and welcome the opportunity to 
answer questions from potential applicants.  Inquiries may fall into three 
areas:  scientific/research, peer review, and financial or grants management 
issues:

o Direct your questions about scientific/research issues to:

Ernestine Vanderveen, Ph.D.
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 302
6000 Executive Boulevard MSC 7003
Bethesda, MD 20892-7003
Telephone: (301) 443-2531 
FAX: (301) 480-2358
Email: tvanderv@willco.niaaa.nih.gov 

o Direct your questions about peer review issues to:

Eugene G. Hayunga, Ph.D.
Chief, Extramural Project Review Branch
Office of Scientific Affairs 
National Institute on Alcohol Abuse and Alcoholism 
6000 Executive Boulevard, Room 409, MSC 7003 
Bethesda, MD 20892-7003 
Rockville, MD 20852 (for express/courier service) 
Telephone: (301) 443-4375
Fax: (301) 443-6077 

o Direct your questions about financial or grants management matters to:

Judy Fox
Chief, Grants Management Branch
Office of Planning and Resource Management
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Suite 504
6000 Executive Boulevard, MSC 7003
Bethesda, MD 20892-7003
(301) 443-4704 (telephone)
(301) 443-3891 (fax)
email:  jsimons@willco.niaaa.nih.gov

LETTER OF INTENT
 
Prospective applicants are asked to submit a letter of intent that includes 
the following information:

o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel 
o Participating institutions
o Number and title of this RFA 

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.
 
The letter of intent is to be sent by the date listed at the beginning of 
this document.  The letter of intent should be sent to:

RFA-AA-03-007
Extramural Project Review Branch
Office of Scientific Affairs
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 409-MSC 7003
Bethesda, MD 20892-7003
(courier: Rockville, MD 20814)
Telephone: (301) 443-4375
FAX: (301) 443-6077 

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive 
format.  For further assistance contact GrantsInfo, Telephone (301) 435-0714, 
Email: GrantsInfo@nih.gov.
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS: Applications requesting 
up to $250,000 per year in direct costs must be submitted in a modular grant 
format.  The modular grant format simplifies the preparation of the budget in 
these applications by limiting the level of budgetary detail.  Applicants 
request direct costs in $25,000 modules.  Section C of the research grant 
application instructions for the PHS 398 (rev. 5/2001) at 
http://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step 
guidance for preparing modular grants.  Additional information on modular 
grants is available at 
http://grants.nih.gov/grants/funding/modular/modular.htm.

USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/2001) 
application form must be affixed to the bottom of the face page of the 
application.  Type the RFA number on the label.  Failure to use this label 
could result in delayed processing of the application such that it may not 
reach the review committee in time for review.  In addition, the RFA title 
and number must be typed on line 2 of the face page of the application form 
and the YES box must be marked. The RFA label is also available at: 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.
 
SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of 
the application, including the Checklist, and three signed, photocopies, in 
one package to:
 
Center For Scientific Review
National Institutes Of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)

At the time of submission, two additional copies of the application must be 
sent to:
 
RFA: AA-03-007
Extramural Project Review Branch
National Institute on Alcohol Abuse and Alcoholism
Willco Building, Room 409
6000 Executive Boulevard, MSC 7003
Bethesda, Maryland 20892-7003 or
Rockville, Maryland 20852-7003 (for express/courier service)
 
SUPPLEMENTAL INSTRUCTIONS 

This RFA requires Supplemental Instructions as follows: 

Each five-year alcohol research grant application must have at least three 
components.  A research component and a faculty and research career 
development are required.  In addition the application must include a science 
education and/or information dissemination and outreach component.  Each 
component is subject to the 25-page limitations for sections a-d of the 
research plan.  

A five-year plan is required.  It must describe the objectives, the 
activities and the processes that the MSI will use to reach the goal of 
developing capacity to submit competitive alcohol research grant applications 
in the future. For each objective, a brief statement should describe what the 
MSI recipients and the collaborating alcohol scientist(s) will do to ensure 
that project goals will be achieved.
 
When the MSI Principal Investigator is not an independent investigator, the 
application must include: 

- a letter of support from senior members of the MSI (e.g., Department Chair, 
Dean, President, Chancellor, or Center Director)indicating full support for 
the activity including release or protected time to enable faculty to 
participate in and focus on achievement of the objectives in the application 
and institutional discretionary resources that will be made available to the 
Principal Investigator.

- a letter of support from the prospective mentor(s) that describes mentoring 
activities and confirms the mentors' commitment to ensuring success of the 
collaborative effort.  This letter is to assure appropriate mentoring and 
maximum probability of success.
 
The collaborative activities must demonstrate a clear partnership between the 
MSI and the collaborating alcohol research program. This process must begin 
with collaboration in preparing the grant application for submission by the 
MSI. The application must describe how the MSI and the collaborating alcohol 
research program will complement each other in achieving clearly stated goals 
and common objectives.  The collaborating institutions and scientists must 
provide evidence of commitment to the identified projects as well as plans 
for interactions among all parties.  

The requested funds must be used for totally new activities that may build on 
but not duplicate the purpose or intent of currently funded grants (e.g., 
P30, P50, P01, R01, R03, R21, R25 Research Resources, Research Infrastructure 
Grants, NRSA Grants, and other peer-reviewed funded programs).  

Recipients of these cooperative agreement awards and their collaborators will 
be expected to participate in an annual meeting. Travel costs for the PI to 
attend this meeting should be included in the grant application from the MSI. 
 
The Principal Investigator in consultation with the NIAAA Science 
Collaborator will establish a unique Project Advisory Committee (PAC) of four 
to six members.  At least one PAC member should be from a relevant community 
group and two members should be experienced alcohol researchers.  The NIAAA 
Scientific Collaborator will be an additional voting member of the PAC.  The 
PAC will meet annually, and more if necessary,  to review activities and make 
recommendations on all project functions.  The role of the PAC is to advise 
the Principal Investigator on scientific and related issues pertinent to the 
operation of the CMSIAR.  Among its duties, the PAC will assess interim 
progress of all activities within the CMSIAR, and will review and select 
projects proposed for future consideration and/or submission.

The application should address each of the following elements:
 
I.  Administrative Core
 
The CMSIAR must have strong and experienced central leadership to coordinate 
proposed activities and to keep all components informed of important 
activities. Critical elements of the Administrative Core include:
 
A Principal Investigator who is a senior experienced investigator from the 
MSI and who will have substantial involvement in managing the CMSIAR program.
 
A 5-year research plan developed by the CMSIAR based on areas of alcohol 
research interest. The selection of proposed projects must reflect the goals 
of the research plan and must be relevant to the research program and 
priorities of the NIAAA.  The plan should state how the institution will 
build on its strengths and capabilities to conduct alcohol research and 
address the needs of the institution in furthering CMSIAR goals.  The plan 
should include measurable objectives.
 
Each CMSIAR should create a program for disseminating alcohol research 
information.  The audiences for these activities should include health care 
and allied professions' students and professionals, community based 
organizations and researchers at the host institution as well as 
investigators at other institutions. Information dissemination activities may 
include, but are not limited to, activities such as seminars, journal clubs, 
training programs, short courses, telemedicine, presentations at professional 
meetings and publications. The content of these activities must be developed 
in collaboration with the NIAAA and established alcohol research scientists. 
The CMSIAR may wish to seek appropriate Continuing Health Education credit 
for participants.  The information dissemination and faculty development 
function should work closely with the Administrative Core.
 
The Principal Investigator will prepare a yearly progress report and a 
document near the conclusion of the first 5 years of CMSIAR experience. The 
document must contain, but is not limited to, the CMSIAR description, an 
assessment of the collaborative approach to project development and the 
enhancement of faculty expertise. Research findings and observations on the 
administration of the program should also be included.  These reports should 
document progress toward implementing the CMSIAR 5-year plan.  
 
PEER REVIEW PROCESS 
 
Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by the NIAAA.  Incomplete or unresponsive applications will be 
returned to the applicant without further consideration.

Applications that are complete and responsive to the RFA will be evaluated 
for scientific and technical merit by an appropriate peer review group 
convened by the Institute in accordance with the review criteria stated 
below. As part of the initial merit review, applications which are fully 
discussed will be assigned a priority score.  Applications which are not 
discussed will be withdrawn from further consideration and the Principal 
Investigator and the official signing for the applicant organization will be 
notified. The applicant shall receive a written critique of the review.  The 
second level of review will be provided by the National Advisory Council on 
Alcohol Abuse and Alcoholism.
 
REVIEW CRITERIA 

This initiative is quite broad in scope. Under these circumstances, the 
review criteria are not organized under the traditional headings of 
Significance, Approach, Environment, Investigator and Innovation typically 
used for NIH research grants.  Reviewers will use considerable flexibility in 
determining the merit of a broad range of possibilities that can expand 
research, training and career development opportunities for minority 
scientists and students. 

Each application must be thorough and complete enough to stand on its own. 
Additional materials or revisions will not be accepted after the receipt 
date.  It is strongly recommended that Institutional Review Board (IRB) 
approval be secured prior to submission.
 
I. The following criteria will be used in judging the adequacy of plans for 
the administrative core:
 
- Strength of the 5-year plan of research, faculty and research career 
development and education or dissemination to achieve CMSIAR program goals
 
- Evidence of experience coordinating multi-disciplinary projects and 
administrative core activities.
 
- Evidence of experience with, and a commitment to, fostering working 
relationships with minority populations.

- The degree to which the proposed collaboration presents opportunities for 
furthering research programs in the minority serving institution. 

- Evidence of the ability to disseminate information through professional and 
less formal mechanisms.
 
- Appropriateness of the proposed budget.

- Evidence of planned or established collaborations between faculty from the 
minority serving institution and external scientists from research intensive 
institutions.
 
- Evidence that the proposed PAC has appropriate scientific experience, 
including alcohol research, and minority community membership, and that the 
individuals are committed to the success of the program. 

- The promise and potential of the pilot and exploratory studies proposed to 
be the basis for developing future research projects. 

 
II. The following criteria will be used to evaluate the commitment of the 
applicant institution to program objectives: 

- Strength of the evidence that the researchers and faculty of the MSI and 
the collaborating alcohol research program worked closely together in the 
preparation of the application.

- The degree to which the MSI officials' letters of support address: 
institutional commitment to alcohol research; the need for 
faculty/staff/student mentoring and development;  and institutional 
commitment to ensuring the success of the collaborations by providing release 
or protected time for faculty to do research and by providing other 
resources. 
 
- The adequacy of MSI and collaborating program staff's day-to-day oversight, 
coordination, and commitment to logistical support, as needed to make the 
collaboration successful.
 
- The adequacy of plans proposed by the MSI and collaborating alcohol 
research program to fully explore areas of opportunity and to ensure highly 
interactive and integrated efforts between individual scientists (e.g., 
research project) and/or between faculty and scientists (e.g., training 
program, education program).
 
- Clarity of the process used to identify areas for potential collaboration 
and/or development.

- The appropriateness of all participants' academic preparation and 
professional experience to contribute effectively to pertinent aspects of 
this alcohol research project.
 
- The potential of the proposed projects/programs to generate adequate 
preliminary data to become competitive for future grant support (e.g., R03, 
R21, R01, R25, K awards, NRSA awards for training). 
 
Renewal Applications:

A comprehensive progress report is required for competing renewal 
applications. A statement must be included in the application regarding the 
progress toward achieving aims of the previously funded CMIARD during the 
previous period of support. In addition, for all projects in each component, 
supported during the previous 5-year grant period, a succinct account of its 
published and unpublished results must be provided.  This account is required 
whether or not the project will be submitted for continuation in the renewal 
application.   

Other Considerations:
 
The initial review group will also examine the appropriateness of the 
proposed budgets and duration; the adequacy of plans to include both genders 
and minorities and their subgroups as appropriate for scientific goals of the 
research and plans for recruitment and retention of subjects; the adequacy of 
plans for including children as appropriate for the scientific goals of the 
research, or the justification for exclusion; the provisions for the 
protection of human and animal subjects; and the safety of the research 
environment. 

RECEIPT AND REVIEW SCHEDULE 
 
Letter of Intent Receipt Date: January 24, 2003
Application Receipt Date: February 24, 2003
Peer Review: May-June 2003
NIAAA Advisory Council: September 17, 2003
Earliest Anticipated Award Date: September 29, 2003
 
AWARD CRITERIA

The applications will compete for funds with all other proposals submitted in 
response to this RFA. Applications recommended by the NIAAA Advisory Council 
will be considered for award based on (a) scientific and technical merit as 
determined by peer review; (b) the program priorities of the NIAAA, and (c) 
availability of funds.

REQUIRED FEDERAL CITATIONS
 
INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS 
 
It is the policy of the NIH that women and members of minority groups and 
their sub-populations must be included in all NIH-supported biomedical and 
behavioral research projects involving human subjects, unless a clear and 
compelling rationale and justification is provided indicating that inclusion 
is inappropriate with respect to the health of the subjects or the purpose of 
the research.  This policy is based on the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43). 
 
All investigators proposing research involving human subjects should read the 
UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research," published in the NIH Guide for Grants and Contracts on  
August 2, 2000 (http://grants.nih.gov/grants/guide/notice-
files/NOT-OD-00-048.html); a complete copy of the updated Guidelines is available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm: The 
revisions relate to NIH defined Phase III clinical trials and require: a) all 
applications or proposals and/or protocols to provide a description of plans 
to conduct analyses, as appropriate, to address differences by sex/gender 
and/or racial/ethnic groups, including subgroups if applicable; and b) all 
investigators to report accrual, and to conduct and report analyses, as 
appropriate, by sex/gender and/or racial/ethnic group differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS.  
 
It is the policy of NIH that children (i.e., individuals under the age of 21) 
must be included in all human subjects research, conducted and supported by 
the NIH, unless there are clear and compelling scientific and ethical reasons 
not to include them.

This policy applies to all initial (Type I) applications submitted for 
receipt dates after October 1, 1998. 
 
All investigators proposing research involving human subjects should read 
the  "NIH Policy and Guidelines on the Inclusion of Children as participants 
in Research Involving Human Subjects" that was published in the NIH Guide for 
Grants and Contracts, March 6, 1998, and is available at the following URL 
address: http://grants.nih.gov/grants/guide/notice-files/not98-024.html.
 
REQUIRED EDUCATION IN THE PROTECTION OF HUMAN RESEARCH PARTICIPANTS
 
All investigators proposing research involving human subjects should read the 
policy that was published in the NIH Guide for Grants and Contracts, June 5, 
2000 (Revised August 25, 2000), available at the following URL address 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The 
Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances.  Data that are (1) first produced in a 
project that is supported in whole or in part with Federal funds and (2) 
Cited publicly and officially by a Federal agency in support of an action 
that has the force and effect of law (i.e., a regulation) may be accessed 
through FOIA.  It is important for applicants to understand the basic scope 
of this amendment.  NIH has provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this RFA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time.  If so, the application should 
include a description of the archiving plan in the study design and include 
information about this in the budget justification section of the 
application. In addition, applicants should think about how to structure 
informed consent statements and other human subjects procedures given the 
potential for wider use of data collected under this award.

URLs IN NIH GRANT APPLICATIONS OR APPENDICES
 
All applications and proposals for NIH funding must be self-contained within 
specified page limitations.  Unless otherwise specified in an NIH 
solicitation, internet addresses (URLs) should not be used to provide 
information necessary to the review because reviewers are under no obligation 
to view the Internet sites.  Reviewers are cautioned that their anonymity may 
be compromised when they directly access an Internet site.

HEALTHY PEOPLE 2010

The Public Health Service (PHS) is committed to achieving the health 
promotion and disease prevention objectives of "Healthy People 2010," a PHS-
led national activity for setting priority areas. This RFA is related to the 
priority area of Alcohol Research.  Potential applicants may obtain a copy of 
"Healthy People 2010" at http://www.health.gov/healthypeople/ and the NIAAA 
"Forecast for the Future: Strategic Plan to Address Health Disparities" at 
http://www.niaaa.nih.gov/about/DisparitiesIntro-text.htm

AUTHORITY AND REGULATIONS
 
This program is described in the Catalog of Federal Domestic Assistance No. 
93.273, Alcohol Research Program Awards are made under authorization of 
Sections 301, 405, and 464H of the Public Health Service Act as amended, (42 
USC 241 and 284) and administered under NIH grants policies and Federal 
Regulations 42 CFR Parts 52 and 45 CFR Parts 74 and 92. This program is not 
subject to the intergovernmental review requirements of Executive Order 12372 
or Health Systems Agency review. 
 
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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